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March 18, 2013
Boca Raton Firm and Rep Censured and Fined by FINRA for Anti-Money Laundering Failures

Soreide Law Group, Securities Arbitration Law Firm (888) 760-6552, recently obtained this information from the FINRA website under “Disciplinary and Other FINRA Actions, March, 2013.” Lampost Capital, L.C. (CRD® #43706, Boca Raton, Florida)and Gregg Allan Pollack (CRD #2653630, Registered Principal, Boca Raton, Florida) firm was censured and fined $50,000, Pollack was fined $5,000 and suspended […]

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