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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

Maurice Miller, CFP®
MassMutual Great Lakes
Detroit, MI

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

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

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

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

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

Bryan Jackson, CFP®
VisionPoint Advisory Group
Dallas, TX

Ben Johnson, CFP®
Morgan Stanley
Austin, TX

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

Stephanie King, CFP®
Charles Schwab
TD Ameritrade
Phoenix, AZ

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

John MacLean, CFP®
Fidelity Investments
Roanoke, TX

Christine Cheng Medeiros, CFP®
Eagle Strategies
Honolulu, HI

Sue Rogan
CASH Campaign of Maryland
Baltimore, MD

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

Richard Vanderheiden, Esq.
Scottsdale, AZ

 

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