(CRD #6317373, Odenton, Maryland)

September 30, 2025 – An AWC was issued in which Luke Lannister was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for two months. Without admitting or denying the findings, Lannister consented to the sanctions and to the entry of findings that he exercised discretion without written authorization in accounts held by two customers without first speaking to the customer prior to execution on the day of the transactions. The findings stated that although the customers generally understood that Lannister was exercising discretion in their accounts, neither gave him their prior written authorization to do so and his member firm did not accept the accounts as discretionary. In addition, Lannister inaccurately stated in annual compliance questionnaires submitted to the firm that he had not exercised discretion in customer accounts without express written approval from the firm. The suspension is in effect from October 6, 2025, through December 5, 2025. (FINRA Case #2023079960501) If you have suffered losses as a result of Luke Lannister'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 Luke Lannister. 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 866-330-6706 or email Matthew Schwartz directly at mschwartz@tslfirm.com.