(CRD #2637150, Honolulu, Hawaii)

August 28, 2025 – An AWC was issued in which Lyle Uyeda was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Uyeda consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA connection with an investigation into the circumstances surrounding a Uniform Termination Notice for Securities Industry Registration (Form U5) filed by his member firm stating that it had discharged him for engaging in a series of personal loans totaling approximately $1.45 million from a client. (FINRA Case #2025085994001) If you have suffered losses as a result of Lyle Uyeda'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 Lyle Uyeda. 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 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.