Alan Besnoff, CFP, ChFC, CLU is the founder of Securities Expert Witness & Litigation Support, LLC, and provides litigation consulting services and expert testimony in cases involving customer disputes and employment issues within the financial services industry.
Mr. Besnoff’s expert engagements typically involve sales practices and violations of rules and industry standards in securities, life insurance and annuities, supervisory and U-5/wrongful termination.
Alan Besnoff has 30+ years of experience within the industry, primarily in supervisory and leadership positions.
Mr. Besnoff has passed FINRA registration examinations for Series 6, 63, 65, 7, 26, and 24, and state licensing examinations for Life Insurance & Annuities, Disability Insurance, Long Term Care Insurance, Variable Life Insurance and Variable Annuities.
Professional designations held by Mr. Besnoff include:
Certified Financial Planner, CFP
Chartered Financial Consultant, ChFC
Chartered Life Underwriter, CLU
Mr. Besnoff has developed and taught compliance training programs, and has initiated and implemented policies and procedures to assure branch offices, financial advisors, registered representatives, brokers and managers are in compliance with FINRA regulations, and industry standards. He has also taught securities, financial planning, insurance & annuities, and risk management at multiple universities and to financial advisors and managers throughout the financial services industry.
Industry leadership roles held by Mr. Besnoff include having served as President of the National Association of Insurance and Financial Advisors (NAIFA) in Connecticut.
Mr. Besnoff is currently active as a Director and Committee Chair of Securities Experts Roundtable, and as a FINRA Arbitrator.
Mr. Besnoff has been appointed by the CFP Board of Standards, and is currently serving as a Commissioner on the Disciplinary and Ethics Commission.
Alan Besnoff may be reached at 603-734-4481.