The Hanley Law (239) 649-0050 recently discovered that according to FINRA’s Disciplinary and Other FINRA Actions publication, Brian Michael Seifert (CRD No. 4547658) was barred from associating with any FINRA member after allegedly failing to provide FINRA with on-the-record testimony involving an investigation into allegations that he forged documents and falsified client insurance information.
FINRA alleged that while Seifert was employed with Capital Management Company he forged and/or falsified customer information. Following the accusations Seifert failed to appear for on-the-record FINRA interview in violation of FINRA rules. (See FINRA Case No. 2012033920601)
Brian Michael Seifert was an active broker for 7 years with the following member firm(s):
COUNTRY CAPITAL MANAGEMENT COMPANY
CRD # 12060
ROCHESTER, MN
3/2008 – 8/2012
LIBERTY LIFE SECURITIES, LLC
CRD # 47737
EAGAN, MN
1/2007 – 3/2008
EQUITRUST MARKETING SERVICES, LLC
CRD # 5309
WEST DES MOINES, IA
4/2003 – 2/2005
If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors who have been victims of securities fraud. If you have lost money as a result of securities fraud, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a free initial consultation.