FINRA Announces Results of Governor Elections
MELVILLE, N.Y., Sept. 12, 2023 /PRNewswire-PRWeb/ — Herold & Lantern Investments Inc., a leading financial services firm, is pleased to announce that Wendy Lanton, Founding Principal and Chief Compliance Officer, has been re-elected as a Small Firm Governor to the FINRA Board of Governors. Wendy’s 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.
About Wendy Lanton
Wendy Lanton is Chief Compliance Officer of Herold & Lantern Investments, Inc. She is one of the founding principals of Lantern Investments, a FINRA-registered broker-dealer, and Lantern Wealth Advisors, an SEC-registered investment advisor. Ms. Lanton has more than 30 years of experience in the financial services industry. Ms. Lanton was originally elected to the FINRA Board of Governors in August 2020. She served on the FINRA Small Firm Advisory Committee from December 2015 until August 2020 and was the committee chairperson in 2018. She currently serves on the Steering Committee for the firm’s clearing firm, Pershing. 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. In February 2016 Ms. Lanton served as a panelist representing small firms at the Cyber Security Conference. She is the author of numerous compliance-centric articles focusing on topics ranging from client suitability to cyber-security.
A Milestone for Herold & Lantern Investments Inc.
“Wendy’s re-election to the FINRA Board of Governors not only recognizes her individual accomplishments but also highlights the caliber of our team here at Herold & Lantern Investments Inc.,” said Keith Lanton, President of Herold & Lantern Investments Inc. “We’re incredibly proud to see Wendy continue to represent the industry on this national platform.”
About Herold & Lantern Investments Inc.
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.
About FINRA
The Financial Industry Regulatory Authority (FINRA) is an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly.
For more information about Herold & Lantern Investments Inc. or Wendy Lanton’s re-election, please contact us at [email protected]
Media Contact
Keith Lanton, Herold & Lantern Investments, 1 631-454-2000, [email protected], https://www.heroldlantern.com
SOURCE Herold & Lantern Investments
