BRIAN MICHAEL SEIFERT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brian Michael Seifert (CRD No. 4547658), Respondent. DISCIPLINARY PROCEEDING No. 2012033920601 AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Brian Seifert twice failed to appear for scheduled on-the-record testimony requested pursuant to FINRA Rule 8210 during June 2014. 2. Seifert's failures to appear for on-the-record testimony violated FINRA Rule 8210
12/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. BRIAN MICHAEL SEIFERT (CRD 4547658), Respondent. Disciplinary Proceeding No. 2012033920601 DEFAULT DECISION Hearing Officer - KBW, December 16, 2014 Respondent failed to provide testimony in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Respondent is barred from associating with any member firm in any capacity.
Reference 2012033920601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4547658 |
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