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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
Angela Coleman, CFP®
Unified Trust Company, N.A.
Lexington, KY

Keith Barberis, CFP® 
Steward Partners Global Advisory
Bethesda, MD

Chris Beard, CFP ®
Professional Planning & Wealth, LLC
Greenville, SC

Michael L. Beaulieu, CFP®
MAI Capital Management, LLC
Ponte Vedra, FL

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

Ty Bilderback, CFP® 
Merrill Lynch
Greensboro, NC

Cheryl Costa, CFP®
Woodside Wealth Management
Sudbury, MA

Catheryne DiPrete, CFP®
Morgan Stanley
Novato, CA

Phil Fazio, CFP®
Merrill Lynch, Pierce, Fenner & Smith, Incorporated
Lighthouse Pt., FL

Jack Harmon II, CFP®
Harmon Financial
Roswell, GA

Kim Hayes, CFP® 
Waddell & Reed, Inc.
Overland Park, KS

Harvey Hutchinson, CFP®
Jackson National Life Insurance Company
Birmingham, AL

Ben Johnson, CFP®
Austin, TX

Karen Keatley, CFP®
Modera Wealth Management, LLC
Charlotte, NC

Stephanie King, CFP®
Charles Schwab
Phoenix, AZ

Chun Lee, CFP®
LPL Financial
Edmonds, WA

John MacLean, CFP®
Fidelity Investments
Roanoke, TX

Maurice Miller, CFP®
MassMutual Great Lakes
Detroit, MI

Matt Murphy, CFP®
Murphy Capital Advisors, LLC
Goodyear, AZ

Sue Rogan
CASH Campaign of Maryland
Baltimore, MD

Gary Strickland, Esq.
Warner Angle Hallman Jackson & Formanek PLC
Phoenix, AZ

Richard Vanderheiden, Esq.
Scottsdale, AZ

Jeffrey Weekes, CFP®
Morgan Stanley Wealth Management
Stroudsburg, PA

 

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