Disciplinary Rules & Procedures

Full Disciplinary Rules and Procedures PDF

Public Disciplinary Actions

The Institute’s Professional Review Board can take four types of disciplinary action, three of which are public and one of which is private:

1. A private letter of censure.
2. A public censure.
3. A suspension of the individual’s certification, and/or:
4. A termination of an individual’s certification, depending on a number of factors, including, without limitation, the severity of the violation, any mitigating circumstances, and the individual’s cooperation with the investigation of the Professional Review Board or Hearing Panel.

The list below includes individuals who are not currently certified because of a public disciplinary action by the Institute. The list includes those whose certifications are currently suspended and those whose certifications have been terminated by the Institute’s Professional Review Board. Additional information surrounding public disciplinary actions reported on any individual(s) listed on this page may be requested in writing by clicking here.  To verify an individual’s current certification status, or check a currently certified individual's public history of discipline by the Institute, search our CIMA/CIMC, CPWA or RMA directories. An investor who is using this site as a due diligence tool, ought to search other sites as well, including without limitation FINRA BrokerCheck (https://brokercheck.finra.org) and the SEC’s Investment Advisor Public Disclosure (IAPD) (https://www.adviserinfo.sec.gov/IAPD/IAPDFirmSummary.aspx?ORG_PK=8096)

Termination

1. Melanson, Ronald A.
   Montana
2. Bauer, John T.
   Texas
3. Dunham, Michael P.
   Oklahoma
4. Gisclair, S. Derby
   Louisiana
5. Bennett, Dawn J.
   Washington, D.C.

Current Suspensions

1. Slothower, Jeffrey
   Southhampton, NY

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The Institute's Disciplinary Rules and Procedures