ANTHONY SEIFERT Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses
Former KESTRA ADVISORY SERVICES, LLC investment adviser, ANTHONY SEIFERT Has An Investor Complaint.
ANTHONY J SEIFERT, ANTHONY JAMES SEIFERT, ANTHONY SEIFERT
CRD#: 6514406
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.
ANTHONY JAMES SEIFERT (CRD#: 6514406), a former registered representative for KESTRA INVESTMENT SERVICES, LLC, in Mount Pleasant, SC, has a settled investor complaint. According to SEIFERT’s FINRA BrokerCheck report, The client alleges unauthorized trading and unsuitable investment recommendations from March 2021 through February 2022.
The claim settled for $366,617.85.
FINRA Suspends Anthony J Seifert
According to FINRA, without admitting or denying the findings, Seifert consented to the sanctions and to the entry of findings that he exercised discretion for transactions in customer accounts without their written authorization and without his member firm’s acceptance of the accounts as discretionary accounts. The FINRA findings stated that the customers knowingly permitted Seifert to exercise discretion.
Seifert consented to a $5,000 fine and a suspension for 20 business days.
ANTHONY SEIFERT Has An Investor Complaint.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 2/28/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.