Contact this Expert Witness
- Company: Securities Expert Witness & Litigation Support, LLC
- Phone: 603-734-4481
- Cell: 603-641-6469
- Website: www.ajbExpertWitness.com
Specialties & Experience of this Expert Witness
General Specialties:
Securities & Investments and InsuranceKeywords/Search Terms:
Mutual Funds, Annuities, Financial Planning, Life Insurance, Long Term Care Insurance, FINRA, Misrepresentation, Asset Allocation, Retirement Plans, Unauthorized Trading, Suitability, churning, Supervision, Employment, U-5, Variable Annuities, Alternative Investments, CFP, Fiduciary Duty, IRAsEducation:
Certified Financial Planner (CFP) , The American College; Chartered Financial Consultant, The American College; Chartered Life Underwriter, The American College; B.S., Southern Connecticut State UniversityYears in Practice:
30+Number of Times Deposed/Testified in Last 4 Yrs:
15+Additional Information
Alan J. Besnoff, CFP, ChFC, CLU is the founder of Securities Expert Witness & Litigation Support, LLC, and provides litigation consulting services and expert testimony for matters involving customer disputes and employment issues within the financial services industry. Mr. Besnoff’s expert engagements typically involve sales practices and alleged violations of rules and industry standards in the areas of securities, life insurance and annuities, supervisory, and U-5/employment matters. Mr. Besnoff has been engaged as an expert in more than 135 cases and has testified approximately 35 times. 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, as well as 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: 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, and managers are in compliance with FINRA regulations, and industry standards. He has also taught securities, financial planning, insurance & annuities, and risk management at 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 the past President of Securities Experts Roundtable. Mr. Besnoff has been appointed by the CFP Board of Standards, and is currently serving as Commissioner, Disciplinary and Ethics Commission. Alan Besnoff is a FINRA arbitrator. Alan Besnoff may be reached at [email protected] or 603-734-4481.