FINRA has fined Anthony J. Seifert, a former Merrill Lynch advisor based in Mount Pleasant, South Carolina, $5,000 and suspended him for 20 days.
Thank you for your professional assistance with this matter. You are very good at what you do.
Mr. Blodgett earned his juris doctor from Notre Dame Law School. While in law school, Mr. Blodgett served on the Journal of Legislation and also worked as an extern at the Financial Industry Regulatory Authority (FINRA).
After earning his law degree, Mr. Blodgett spent two years as a law clerk for the Alaska Superior Court in Anchorage, Alaska. During that time, he clerked for Judge Yvonne Lamoureux and Judge Una Gandbhir. While in Alaska, Mr. Blodgett served as co-president of the Young Lawyers Section of the Anchorage Bar Association.
FINRA has fined Anthony J. Seifert, a former Merrill Lynch advisor based in Mount Pleasant, South Carolina, $5,000 and suspended him for 20 days.
A federal court ruling against American Airlines has brought attention to the role of environmental, social, and governance (ESG) factors in managing retirement plans.
The Securities and Exchange Commission (SEC) has charged LPL Financial LLC, a broker-dealer and investment adviser, with multiple violations of anti-money laundering (AML) regulations.