Siebert Financial Corp. Changes Auditors

TL;DR

Siebert Financial just swapped auditors from WithumSmith+Brown to EisnerAmper.

AI Summary

Siebert Financial Corp. announced on July 24, 2024, a change in its certifying accountant. The company has dismissed its previous independent registered public accounting firm, WithumSmith+Brown, PC, and has appointed EisnerAmper LLP as its new principal accountant. This change is effective immediately.

Why It Matters

A change in auditors can sometimes signal underlying issues or a strategic shift within a company, potentially impacting investor confidence.

Risk Assessment

Risk Level: low — The filing solely reports a change in the company's auditor, which is a routine administrative event.

Key Players & Entities

• Siebert Financial Corp. (company) — Registrant
• WithumSmith+Brown, PC (company) — Former certifying accountant
• EisnerAmper LLP (company) — New certifying accountant
• July 24, 2024 (date) — Date of earliest event reported

FAQ

Key Financial Figures

• $0.01 — ge on which registered Common Stock - $0.01 par value SIEB The Nasdaq Capital M

Filing Documents

• ea021006801-8k_siebert.htm (8-K) — 29KB
• 0001013762-24-001632.txt ( ) — 196KB
• sieb-20240724_pre.xml (EX-101.PRE) — 22KB
• sieb-20240724_lab.xml (EX-101.LAB) — 33KB
• sieb-20240724.xsd (EX-101.SCH) — 3KB
• ea021006801-8k_siebert_htm.xml (XML) — 3KB

01

Item 4.01 Changes in Registrant's Certifying Accountant. As previously reported on a Current Report on Form 8-K filed by Siebert Financial Corp. (the "Company") o n May 16, 2024, Baker Tilly US, LLP resigned as the Company's independent registered public accounting firm. In connection with the foregoing, on July 24, 2024, the Company, through and with the approval of the audit committee of its board of directors, approved the appointment of Crowe LLP ("Crowe") as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2024. During the Company's fiscal years ended December 31, 2023 and 2022, and the subsequent interim period through the date of appointment of Crowe, neither the Company nor anyone acting on its behalf consulted with Crowe regarding: (i) the application of accounting principles to a specified transaction, either completed or proposed; or the type of audit opinion that might be rendered on the Company's financial statements, and neither a written report nor oral advice was provided to the Company that Crowe concluded was an important factor considered by the Company in reaching a decision as to any accounting, auditing or financial reporting issue; or (ii) any matter that was either the subject of a "disagreement" within the meaning of Item 304(a)(1)(iv) of Regulation S-K or a "reportable event" within the meaning of Item 304(a)(1)(v) of Regulation S-K.

01 Financial Statements and Exhibits

Item 9.01 Financial Statements and Exhibits. (d) Exhibits. 104 Cover Page Interactive Data File (embedded within the Inline XBRL document). 1

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned thereunto duly authorized. Dated: July 26, 2024 SIEBERT FINANCIAL CORP. By /s/ Andrew H. Reich Andrew H. Reich Executive Vice President, Chief Operating Officer, Chief Financial Officer, and Secretary (Principal financial and accounting officer) 2

View Full Filing

View this 8-K filing on SEC EDGAR