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Recent Posts in CFP Category

CFP Board Issues Revocation to Barred Wells Fargo Broker Charles Frieda

Barred from FINRA in December 2017 for unsuitable over-concentration in speculative oil and gas securities, resulting in significant losses for elderly customers, Anaheim's Charles Henry Frieda no ...
Continue reading "CFP Board Issues Revocation to Barred Wells Fargo Broker Charles Frieda" »

CFP Board Suspends Charles Frieda Following FINRA Overconcentration Bar

A month after FINRA barred former Wells Fargo representatives Charles Henry Frieda and Charles Bernard Lynch for unsuitably over concentrating customer funds in speculative oil and gas industry ...
Continue reading "CFP Board Suspends Charles Frieda Following FINRA Overconcentration Bar" »

CFP Board Suspends David Gabai After FINRA Bar for Alleged Deceptive and Fraudulent Scheme

The CFP suspended advisor David Lawrence Gabai of West Hills, California after discovering that FINRA had barred him for the use of "deceptive, fraudulent and manipulative devices and schemes ...
Continue reading "CFP Board Suspends David Gabai After FINRA Bar for Alleged Deceptive and Fraudulent Scheme" »

CFP Board Suspends Broker Michael T. Ryan of Santa Ana for Unauthorized Outside Business Activities

Following a FINRA suspension, fine and order of restitution imposed against former Newport Coast Securities and Securities America broker Michael Thomas Ryan of Santa Ana, California, the CFP Board ...
Continue reading "CFP Board Suspends Broker Michael T. Ryan of Santa Ana for Unauthorized Outside Business Activities" »

CFP Board Censures 23 Advisors, Issues Revocations, Suspensions for Unethical Practices

The Certified Financial Planner (CFP) Board announced sanctions taken against 23 financial advisors as the result of both CFP and FINRA violations spanning from unsuitable annuities recommendations, ...
Continue reading "CFP Board Censures 23 Advisors, Issues Revocations, Suspensions for Unethical Practices" »

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 ...
Continue reading "CFP Advisors Steven Wilkinson, Noah Myers, Dan Glick & Robert Wheeling Stripped of CFP Certification for Misconduct" »
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