FINRA filed a complaint against securities broker James Joseph Lukezic [CRD: 4284800, New York, New York], according to disclosures on FINRA BrokerCheck. Apparently, James Lukezic has worked for Old Slip Capital Management Inc. since January 25, 2019, and has also been registered with Old Slip Registered Investment Advisors LLC since February 27, 2019. Keep reading […]

Allstate Broker Jimmy Nunez Suspended By FINRA And Involved In Investor Dispute Soreide Law Group discusses disclosures on Jimmy William Nunez (CRD#: 6432136, Edgewater, New Jersey). Evidently, Nunez worked as a securities broker for Allstate Financial Services from 2015 to 2020. Let’s take a closer look at the allegations of unauthorized transactions as reported on […]

The following summation information was found on FINRA’s website under “Disciplinary and Other FINRA Actions February 2015.” Call the Soreide Law Group, a Securities Arbitration Law Firm, at (888) 760-6552. David Glenn Chapman (CRD #1702066, Holmdel, New Jersey) was barred by FINRA for allegedly forging a deceased client’s signature on a document necessary to renew […]

The following summation is from information available on FINRA's Website under “Disciplinary and Other FINRA Actions, April, 2014.” Mark Raymond Talley (CRD #4969783, Registered Representative, Ft. Mitchell, Kentucky) was barred by FINRA for allegedly recommending to his customer that he should replace an existing variable annuity with a new variable annuity. FINRA's findings stated that […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Joseph Edward Conti (CRD #1230968, Registered Principal, Lantana, Florida) was barred from association with any FINRA member in any principal capacity and suspended from association with any FINRA member in any capacity for three months. Because of Conti’s financial status, […]