Eric W. Kuchel, Brea, Calif., for failure to appear for testimony during Finra’s investigation surrounding various mutual fund transactions at Kuchel’s broker-dealer. Finra barred him from association with any Finra member in any capacity.
Andrew G. Rosenberg, Weston, Fla., after Finra found he failed to disclose to securities investors or his firm that he was providing legal services for compensation to the issuer of the securities.
Sharon J. Fall, Chester, Md., for borrowing money from clients.
Laurence D. Black, Park City, Utah, for failing to reveal to clients that he associated with an individual who was barred from the industry by the SEC for felony securities fraud convictions and for failing to keep proper records, among other charges.
Cory D. Williams, Monkton, Md., for being fined by the SEC, which charged him with handling securities sales that were not approved by his firm and for failing to disclose tax liens filed against him.
The right to use the CFP designation was suspended for varying lengths of time for the following:
Brian P. Carr, Chatham, N.J., for five years because he was the subject of a New Jersey Administrative Consent Order, which concluded that he defrauded investors, made materially false and misleading statements and or omissions and engaged in a course of business that led to fraud and or deceit upon investors.
W. Jon Bettis, Carlsbad, Calif., for three and a half years, or until he pays a court-ordered judgment.
Hampton Scurlock III, Lexington, Ken., for two years for violating his fiduciary duty to clients and for misrepresenting commission payments.
Daniel M. Myers, Woodbury, Minn., for two years for being convicted of driving while intoxicated four times.