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CFP Advisors Steven Wilkinson, Noah Myers, Dan Glick & Robert Wheeling Stripped of CFP Certification for Misconduct

The Certified Financial Planner Board of Standards, Inc. ("CFP Board") permanently revoked the CFP certification rights of Oakland, California planner Steven Wilkinson, Connecticut's Noah Myers, Illinois financial planner Dan Glick and Pennsylvania's Robert Wheeling. The allegations of misconduct range from personal financial issues to fraud and forgery.

In issuing the permanent revocation to Steven Wilkinson, the CFP Board determined that because he filed for bankruptcy twice over the course of 13 years (Chapter 13 in 2000; Chapter 7 in 2012), he demonstrated a "continued inability to manage his personal finances," and, presumably, those of others as well.

Noah Myers meanwhile was disciplined for failing to answer a complaint concerning SEC sanctions purportedly filed against him. The SEC alleged Myers allocated profitable trades to himself even after stating on a form that he would allocate batched trades "fairly and not unduly [in] favor [of] himself or his firm." The SEC complaint also accused Myers of unsuitable investment recommendations.

The most serious of the four, Dan Glick signed a consent agreement with the CFP Board after the Board found he forged client's signatures on multiple letters to a bank in order to misappropriate their funds through illegitimate account access.

Finally, Robert Wheeling, like Myers, failed to file an answer related to a complaint, though Wheeling's was a FINRA-issued four-month suspension and $5,000 fine. FINRA fined and suspended Wheeling after determining he sold equity indexed annuities outside of the scope of his employment with a FINRA-member firm and without permission or approval from that firm.

The CFP Board maintains a website somewaht similar to FINRA's BrokerCheck which allows consumers to research certified financial planners (CFPs) as to any bankruptcy filings and disciplinary history. It is available at www.cfp.net.

If you have invested with any financial planner, adviser or broker whose misconduct ranging from unsuitable recommendations or unfair trade allocation to forgery or fraud, and such illicit activity has proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for investigation and consultation.

Categories: Discipline, CFP
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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