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


Contact Information

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

General Specialties: Securities & Investments and Insurance

Specialty Focus: 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

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

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 insurance Long term care insurance 529 plans Section 1035 exchanges Alternative Investments REITS Employment Issues Mr. Besnoff has passed the following FINRA registration examinations: Series 7 Series 6 Series 63 Series 65 Series 26 Series 24 In addition, Mr Besnoff is licensed for Life & Health Insurance, Variable Life, and Variable Annuities. Nationally recognized certifications and professional designations include: Certified Financial Planner, CFP Chartered Financial Consultant, ChFC Chartered Life Underwriter, CLU knowledgeable, articulate, and persuasive, Alan J. Besnoff provides objective and unbiased litigation consulting services & testimony throughout the United States.