Newsroom

MEMBER HIGHLIGHT - Alan J. Besnoff, CFP, ChFC, CLU was a Speaker and Panelist on the topic of: “CFP Standards; Case Implications When Respondent is a CFP Professional” at the October, 2023 PIABA Annual Meeting and Securities Law Seminar. Mr. Besnoff addressed what distinguishes CFP Professionals from other Financial Advisors, the CFP Board’s Code of Ethics and Standards of Conduct, and explained what duties are defined by the CFP Board Standards, and when those duties are required. Mr. Besnoff also described the process by which the CFP Board enforces its Code and Standards, and explained how allegations of misconduct (violations of the Code of Ethics and Standards) are heard by Hearing Panels consisting of Commissioners who serve on the Disciplinary and Ethics Commission. Alan Besnoff is currently serving as Commissioner, Disciplinary and Ethics Commission, Certified Financial Planner (CFP) Board of Standards.

SER Members serve parties engaged in securities disputes. SER is a party-neutral organization. Items published in this Newsroom that express an opinion or a party bias are not reflective of SER's policy positions or its views as an organization. Items published in the Newsroom on this Website may also be published on SER's LinkedIn Page.

Members: To submit a news item to the Newsroom, first log in, then return to this page and press the button that will appear here.