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

Chair

Darby Armont, CFP® 
Richard P. Slaughter Associates
Austin, TX

Other Commissioners

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

James Bryan, CFP® 
Cahill Financial Advisors, LLC
Edina, MN

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

H. Amos Goodall, Esquire, CELA, LLM
Steinbacher, Goodall, Yurchak
State College, PA

Kevin Hott, CFP®
Raymond James
Devon, PA

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

Tara Johnson, CFP® 
Hightower Bellevue
Bellevue, WA

Kelly Kaufman, CFP® 
Charles Schwab
Indianapolis, IN

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

Joel L. Konigsberg, CFP® 
Morgan Stanley
New York, NY

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

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