Type not stated
Screen this subjectAnthony J. Seifert
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/23/2025: From January 2021 through March 2022, Seifert executed at least 400 transactions without prior written authorization in five brokerage accounts. As a result, Seifert violated FINRA Rules 3260(b) and 2010 and is suspended for 20-business-days and fined $5,000.
Reference 2022074552101finra.orgdata-portal.finra.org
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.