FINRA aims to bar securities broker James Joseph Lukezic [CRD: 4284800, North Miami Beach, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Lukezic has been associated with Old Slip Capital Management Inc. since January 25, 2019, and Old Slip Registered Investment Advisors LLC since February 27, 2019. Previously, he was associated with Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. from July 27, 2016, through February 22, 2019. See below to discover more about disclosures involving Lukezic.
Particularly, on May 12, 2026, FINRA issued Case No. 202207342500. According to the Office of Hearing Officers Hearing Panel Decision, Lukezic has been barred from associating with any FINRA member firm in any capacity. Notably, FINRA alleged that Lukezic executed unauthorized mutual fund exchanges in investor accounts and later provided false or misleading information to FINRA during its investigation.
According to the Decision, Lukezic reportedly placed six mutual fund exchanges in five investor accounts on February 7, 2022, without obtaining the required authorization or consent from those investors. The transactions involved approximately $1.1 million in principal value. FINRA determined that this conduct violated FINRA Rule 2010, which requires securities brokers to observe high ethical standards.
The regulator also found that Lukezic provided false or misleading information in responses to Rule 8210 requests and during testimony. Regulators alleged that he denied involvement in the transactions and made statements that conflicted with evidence obtained during the investigation. Based on these findings, FINRA concluded that Lukezic violated FINRA Rules 8210 and 2010. Rule 8210 requires securities brokers to provide information and testimony that is complete and truthful when requested by the regulator.
After conducting the disciplinary proceedings, FINRA Office of Hearing Officers concluded that a bar was the appropriate sanction. However, the securities broker appealed the Decision to NAC on May 15, 2026. For this reason, the regulator has not imposed sanctions during this period.
Are you concerned about investments you made through James Lukezic? You can contact Soreide Law Group online or at (888) 760-6552. Consult with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Lukezic and brokerage firms Lukezic worked for deny accusations of sales practice violations.
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