GREGORY P POKORNEY is currently employed as a Broker and/or Investment Adviser at LAKESHORE SECURITIES, L.P. located at 401 S. LASALLE #1000, CHICAGO, IL, 60605.
GREGORY P POKORNEY has worked at LAKESHORE SECURITIES, L.P. since August 08, 2016
Disclosure History
GREGORY P POKORNEY has 4 Disclosure Event(s).
Date: June 03, 2005 Category: Regulatory
Date: December 05, 1995 Category: Regulatory Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Allegations: CONSOLIDATED VIOLATIONS-ALLEGED VIOLATION OF CBOE RULE 4.11 AND 24.4(A)-POSITION LIMIT VIOLATION Resolution: Decision & Order of Offer of Settlement SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $68,306.00 Broker Comment: AN OFFER OF SETTLEMENT WAS SUBMITTED IN ORDER TO AVOID THE TIME, EXPENSE, AND UNCERTAINTY OF A FORMAL PROCEEDING. THE SUBMISSSION NEITHER ADMITS NOR DENIES THE ALLEGATIONS.
Date: December 05, 1995 Category: Regulatory Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Allegations: ALLEGED POSITION LIMIT VIOLATION Resolution: Decision & Order of Offer of Settlement SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $20,000.00 Broker Comment: AN OFFER OF SETTLEMENT WAS SUBMITTED IN ORDER TO AVOID THE TIME, EXPENSE, AND UNCERTAINTY OF A FORMAL PROCEEDING. THE SUBMISSION NEITHER ADMITS NOR DENIES THE ALLEGATIONS.
Date: April 24, 1995 Category: Regulatory Initiated By: CHICAGO BOARD OPTIONS EXCHANGE Allegations: ALLEGED POSITION LIMIT VIOLATION EXCHANGE RULE 4.11 AND 24.4 Resolution: Decision & Order of Offer of Settlement SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $26,000.00 Broker Comment: AN OFFER OF SETTLEMENT WAS SUBMITTED IN ORDER TO AVOID THE TIME, EXPENSE, AND UNCERTAINTY OF A FORMAL PROCEEDING. THE SUBMISSION NEITHER ADMITS NOR DENIES THE ALLEGATIONS.
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