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

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

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

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

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

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

Ben Johnson, CFP®
Morgan Stanley
Austin, TX

Tara Johnson, CFP® 
Hightower Bellevue
Bellevue, WA

Kelly Kaufman, CFP® 
Charles Schwab
Indianapolis, IN

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

John MacLean, CFP®
Fidelity Investments
Roanoke, TX

Maurice Miller, CFP®
MassMutual Great Lakes
Detroit, MI

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