James Lukezic Subject of a FINRA Complaint

James Lukezic (CRD #: 4284800), a broker registered with Old Slip Capital Management, allegedly executed unauthorized mutual fund exchanges. This disclosure appears on his BrokerCheck record, accessed on January 16, 2025. Investors may have also worked with him through Old Slip Registered Investment Advisors. Keep reading if you have questions regarding his alleged conduct. 

FINRA Complaint

On December 17, 2024, FINRA filed a complaint alleging that James Lukezic placed six mutual fund exchanges in the accounts of five clients without their authorization.

The complaint alleges that these mutual fund exchanges had a total principal value approximating $1.1 million, and these transactions resulted in losses of approximately $44,500.

Further, James Lukezic allegedly provided false and misleading information during FINRA’s investigation into his alleged unauthorized trading, including denying that the mutual fund exchanges occurred.

The complaint alleges that James Lukezic violated FINRA Rules 8210 and 2010. This complaint remains pending; you can access it here.

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information 

James Lukezic has passed the following exams: 

• Series 66 Uniform Combined State Law Examination
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 24 General Securities Representative Examination 

He is a registered broker in 49 states as well as the District of Columbia, Puerto Rico, and the Virgin Islands. He is a registered investment adviser in New York and Texas. 

In the past, James Lukezic has registered with the following firms: 

• Cambridge Investment Research Advisors (CRD #: 134139) 
• Cambridge Investment Research (CRD #: 39543) 
• Oppenheimer & Company (CRD #: 249) 
• Wells Fargo Advisors (CRD#:19616)
• Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
• Citigroup Global Markets (CRD#:7059)
• FAM Distributors (CRD#:4100)

Kurta Law Can Help 

If you worked with James Lukezic and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.