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Amy Furuno Allegedly Facilitated an Unauauthorized Liquidation

Amy Furuno (CRD #: 3108378), a broker registered with Lucid Capital Markets, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on October 7, 2024. Keep reading if you have questions regarding her alleged conduct. 

Investor Allegations 

On September 9, 2024, an investor alleged that Amy Furuno assisted in the unauthorized liquidation of a security and delivery of proceeds via a wire to the customer’s partner. The investor is seeking $3,350,000. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized liquidation would violate this rule. 

Background Information 

Amy Furuno has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 99TO Operations Professional Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

She is a registered broker in 14 states. 

Amy Furuno has registered with the following firms: 

  • Lucid Capital Markets (CRD #: 140345) 
  • Ladenburg Thalmann & Co. (CRD #: 505) 
  • Ladenbrg Capital Management (CRD #: 14623) 

Kurta Law Can Help 

If you worked with Amy Furuno and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

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