Lucas R. Mroz (CRD #5725399, Elk Grove Village, Illinois)

February 27, 2024 – An AWC was issued in which Mroz was fined $7,500 and suspended from association with any FINRA member in all capacities for 45 days. Without admitting or denying the findings, Mroz consented to the sanctions and to the entry of findings that he made unauthorized transactions by processing fund transfers from a customer’s account based upon instructions given to him by the customer’s father, who was not authorized to direct transactions in the customer’s account. The findings stated that Mroz was the sales assistant to the registered representative of record for a brokerage account held by the customer and a separate account held by her father. Mroz made three fund transfers, each for $100,000, from the customer’s account to her father’s account. Mroz inaccurately represented on the firm’s verbal authorization forms that he had spoken with the customer when he actually had communicated with her father. After the customer questioned the transfers, the father transferred the funds back to her account. Mroz did not earn any compensation for the transfers. The suspension is in effect from March 18, 2024, through May 1, 2024. (FINRA Case #2022074074801) If you have suffered losses as a result of Lucas R. Mroz'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 Lucas R. Mroz. 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.