James Joseph Lukezic

(CRD #4284800, New York, New York)

December 17, 2024 – Lukezic was named a respondent in a FINRA complaint alleging that he placed mutual fund exchanges with a total principal value of approximately $1.1 million in the accounts of five customers without the customers’ authorization. The complaint alleges that Lukezic’s unauthorized trading in the customer accounts caused losses of approximately $44,500. All five customers complained that they had not authorized any of the mutual fund exchange transactions that were made in their accounts. The day following the trades, Lukezic placed a call to the firm’s affiliated transfer agent, which was recorded, and asked how the firm would be paid on the mutual fund exchanges. The transfer agent representative informed Lukezic that the mutual fund exchanges were ineligible for commissions. Over the next several months, the transfer agent cancelled and reversed the mutual fund exchange transactions in the accounts of the customers and returned the original mutual fund holdings to their accounts. On subsequent calls with the transfer agent, Lukezic stated that he did not effect the exchanges at issue. The complaint also alleges that Lukezic provided false and misleading written statements to FINRA in response to requests in connection with its investigation into this matter. Lukezic falsely stated that his firm did not have the ability to execute trades on the transfer agent’s platform. In later written responses to FINRA, Lukezic falsely stated that he was not involved in placing any trades. The complaint further alleges that Lukezic provided false and misleading on-the-record testimony to FINRA as he denied executing the mutual fund exchanges for the customers. (FINRA Case #2022073425001) If you have suffered losses as a result of James Joseph Lukezic's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by James Joseph Lukezic. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.