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.
The work that you and your team have performed on my behalf is exemplary.
Mark A. Tepper is a former Assistant Attorney General and Chief Trial Counsel at the Bureau of Investor Protection and Securities for the New York Attorney General. Since then, he has devoted 35 years of his professional practice to representing investors in securities arbitration and litigation matters. The North American Securities Administrators Association (NASAA) has awarded Mark the Outstanding Service Award. He is a graduate of Cornell Law School (J.D.), and a member of the Florida, New York and California Bars. Mark’s peers have awarded him an AV Preeminent® Rating, the highest rating for lawyers in the Martindale-Hubbell Law Directory.
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.