Herold & Lantern Investments Inc.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/03/2026: 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.
Reference 2022076848801data-portal.finra.orgfinra.org
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