James Lukezic

05/05/2026: Respondent James Lukezic placed six unauthorized mutual fund exchanges in five customer accounts, in violation of FINRA Rule 2010. Lukezic also provided false or misleading information to FINRA during its investigation into the unauthorized trades, both in response to written Rule 8210 requests and during his on-the-record testimony, in violation of FINRA Rules 8210 and 2010. For this misconduct, Lukezic is barred from associating with any FINRA member firm in any capacity. Appearances

12/17/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Lukezic CRD No. 4284800, Respondent. Disciplinary Proceeding No. 2022073425001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On February 7, 2022, while associated with Old Slip Capital Management, Inc. (CRD No. 7360), Respondent James Lukezic placed six mutual fund exchanges with a total principal value of approximately $1.1 million in the accounts of five customers without the customers’ authorization. By engaging in unauthorized trading, Lukezic violated FINRA Rule 2010.

05/12/2026: Respondent James Lukezic placed six unauthorized mutual fund exchanges in five customer accounts, in violation of FINRA Rule 2010. Lukezic also provided false or misleading information to FINRA during its investigation into the unauthorized trades, both in response to written Rule 8210 requests and during his on-the-record testimony, in violation of FINRA Rules 8210 and 2010. For this misconduct, Lukezic is barred from associating with any FINRA member firm in any capacity.

Reference 2022073425001data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org