Alan J Besnoff, CFP, ChFC, CLU Expert Witness
Curriculum Vitae

Publications


Contact Information

  • Company: Securities Expert Witness & Litigation Support, LLC
  • Phone: 603-734-4481
  • Cell: 603-641-6469
  • Website: www.ajbExpertWitness.com
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Specialties & Experience

General Specialties: Securities & Investments and Insurance

Specialty Focus: 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 Investment, CFP, Fiduciary Duty, IRAs

Education: Certified Financial Planner (CFP) , The American College; Chartered Financial Consultant, The American College; Chartered Life Underwriter, The American College; B.S., Southern Connecticut State University

Years in Practice: 30+

Number of Times Deposed/Testified in Last 4 Yrs: 17


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 violations of rules and industry standards in the areas of securities, life insurance and annuities, supervisory, and U-5/employment matters. 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 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 Abesnoff@AJBExpertWitness.com or 603-734-4481.