Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Furuno (Furuno), currently associated with Lucid Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Furuno recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint with a damage request of $3,350,000.00 on September 09, 2024.
On September 9, 2024, Lucid Capital Markets received from Ladenburg Thalmann a copy of a written customer complaint against Ladenburg and Amy Furuno. The customer complaint alleges that while employed at Ladenburg, Ms. Furuno assisted in the unauthorized liquidation of a security and delivery of proceeds via wire to the customers partner.
