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FINRA Awards for Lucia Securities

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0029607/24/2023Claimant(s): Glenn Siegel, Joy Siegel
Claimant Lawyers(s): Christopher L. Lufrano
Respondent(s): Lucia Securities
Respondent Lawyers(s): Mike West
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
19-0024103/20/2020Claimant(s): Ruth Forester
Claimant Lawyers(s): Ruth Forester
Respondent(s): Randall Karl, Lucia Securities
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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