James Lukezic, Managing Principal of Old Slip Capital Management, Inc., Exonerated in FINRA Case

NEW YORK, Jan. 12, 2026 /PRNewswire/ -- After extensive hearings before the Financial Industry Regulatory Authority (FINRA) October - December 2025, financial professional and Managing Principal James Lukezic of Old Slip Capital Management has been vindicated of allegations involving five trades totaling $1.1 million that were said to have resulted in a $44,000 loss to client accounts. During the proceedings in New York City, FINRA demonstrated no evidence that Mr. Lukezic had executed or authorized any of the trades in question. Furthermore, the hearings confirmed that no client funds were lost as a result of any actions by Mr. Lukezic or at all.

The decision effectively ends years of speculation and restores Mr. Lukezic's professional reputation, which had been affected by the U6 posting by FINRA.

In light of new information brought to light during the hearings, American Funds (Capital Group), have been added to an amended complaint that Mr. Lukezic has filed against FINRA and Capital Group on January 9th, 2026. This action seeks accountability regarding the circumstances leading to the false allegations and the professional harm caused to Mr. Lukezic.

Mr. Lukezic stated:
"The truth and evidence prevailed. My reputation means everything to me, and I am grateful that the facts demonstrated my complete innocence in this matter. The larger issue is if the SEC will reform FINRA and specifically its Enforcement unit to bring its power to prosecute in line with the United States Constitution, allowing for due process and the elimination of hearsay evidence".

Further legal action is ongoing as part of Mr. Lukezic's complaint, and additional updates will be shared as developments occur. Case No. 1:25-CV-00623 in the United States District Court for the District of Columbia.

Media Contact:
Peter King 
[email protected]

SOURCE Old Slip Capital Partners