Securities Lawyers Blog
The FINRA arbitration attorneys at Gana Weinstein LLP represent investors who have suffered investment losses at brokerage firms such as Herold & Lantern Investments, Inc. Investors who have lost money because of broker misconduct or financial advisor negligence can often recover those losses through FINRA arbitration rather than in court. Our securities arbitration lawyers can review your accounts, explain how a FINRA claim works, and tell you whether you have a case worth pursuing.
Herold & Lantern Investments is a broker-dealer that provides retail brokerage in equities, mutual funds, bonds and options, along with principal trading in fixed income securities. Formed through the 2020 merger of Lantern Investments and Bernard Herold & Co, the firm is headquartered in Melville, New York.
Herold & Lantern Investments, Inc. – By the Numbers:
- CRD #: 30996
- Regulatory Events: 1
- Broker Employees: 66
Herold & Lantern Investments, Inc. – In the News:
FINRA v. Herold & Lantern Investments, Inc. (Case #2022076848801) – From November 2020 through May 2024, Herold & Lantern failed to establish and implement an anti-money laundering (AML) compliance program reasonably designed to detect and cause the reporting of suspicious transactions in low-priced securities, in violation of FINRA Rules 3310(a), 3310(f)(ii) and 2010. For these violations Herold & Lantern is censured and fined $125,000.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms, including firms such as Herold & Lantern Investments, Inc. Our consultations are free and we welcome all inquiries.