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Claire O’Sullivan

Claire O’Sullivan leads the Office of the Regulatory Advisor, which supports the Chief Regulatory Operations Officer and FINRA’s Regulatory Operations teams by advising on complex regulatory matters, key stakeholder relationships, and high-priority initiatives. Prior to joining FINRA, Ms. O’Sullivan spent nine years at the SEC in the Division of Economic and Risk Analysis, the Division of Trading and Markets, and as Counsel to Commissioner Caroline Crenshaw.  Before joining the SEC, Ms. O’Sullivan was a lawyer in private practice.

2022073425001 James Lukezic CRD 4284800 OHO Decision df.pdf

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

2022073425001 James Lukezic CRD 4284800 Amended OHO Decision df.pdf

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.
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