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U 5 Expert Witness Listings

Welcome to our U 5 experts directory. Browse the profiles below to find the right expert witness in U 5 for your case. Our SEAK Expert Witness Database is always free to search.


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Alan J Besnoff, CFP, ChFC, CLU

Securities Expert Witness & Litigation Support, LLC

Bedford, New Hampshire

Securities & Investments Expert Witness, Insurance Expert Witness Mutual Funds, Annuities, Financial Planning, Disability Ins., Life Insurance, Long Term Care Ins., FINRA, Misrepresentation, Asset Allocation, Retirement Plans, Unauthorized Trading, Suitability, churning, Failure to Supervise,Employment,U-5, Variable Annuities, Investments, Alternative Investment
Additional Information Over 30 years experience with securities, investments, financial planning, and insurance at the financial advisor, supervisory, and managing principal level. Conducted over 1,000 classes, workshops, and presentations on securities, investments, financial planning and insurance to a wide variety of audiences including financial professionals, university students, and consumers. During tenure as supervisor & managing principal provided suitabily guidance on thousands of securities & investment transactions. Developed and taught compliance training programs and implemented policies & procedures to assure branch offices, financial advisors and managers, were in compliance with FINRA and SEC regulations. Areas of Expertise include: Suitability Churning Failure to supervise Breach of fiduaciary duty Asset allocation Unauthorized trading Over concentration Misrepresentation Mutual funds Financial Planning Annuities Retirement Plans Life insurance Disability insura...