Councils & Commissions

Disciplinary and Ethics Commission

The Disciplinary and Ethics Commission is charged with reviewing and taking appropriate action with respect to alleged violations of the Code of Ethics and Standards of Conduct and conduct reviewed pursuant to the Fitness Standards for Candidates and Professionals Eligible for Reinstatement.

Disciplinary and Ethics Commission Members

Kelly Kaufman, CFP®
Charles Schwab
Indianapolis, IN

Alan Besnoff, CFP®
Securities Expert Witness & Litigation Support, LLC
Fremont, NH

Dallas W. Coffman, CFP®
Whitman Financial Services/LPL Financial
Wakefield, MA

Kevin Hott, CFP®
Raymond James
Devon, PA

Chris Jackson, CFP®
Strategic Wealth Partners
Round Rock, TX

Tara Johnson, CFP®
Hightower Bellevue
Bellevue, WA

Melissa Kemp, CFP®
Premium Administration, LLC
Scottsdale, AZ

Michael S. Knight, CFP®
Knight Investment Planning, LLC
Libertyville, IL

David Mannaioni, CFP®
The College for Financial Planning
Littleton, CO

Darlene Pasieczny, Esq.
Samuels Yoelin Kantor LLP
Portland, OR

Clarence Darrow Richardson, Jr., Esq.
Newton Center, MA

Amy K. Wiitala, CFP®
Align Wealth Management
Louisville, KY