Wendy Lanton of Herold & Lantern Investments Inc. Re-Elected as FINRA Small-Firm Governor
Summary
Wendys re-election is a testament to her unparalleled expertise in compliance and governance, as well as her unwavering commitment to the betterment of the financial services industry. Ms. Lanton has chaired multiple compliance forums for retail brokerage firms and is a frequent panelist and speaker at FINRA & SEC Conferences. She regularly leads industry discussions on topics such as Anti-Money Laundering, Top Regulatory Concerns, Effective Risk-Based Examinations, and, most recently, Regulation Best Interest. Herold & Lantern Investments Inc., and its affiliated companies, headquartered in Melville, NY, offer comprehensive financial services, including brokerage, wealth management, and insurance planning. With a focus on customized solutions, Herold & Lantern Investments Inc. is committed to delivering the highest level of service and expertise to its clients.