PETER LUCINA is currently employed as a Broker and/or Investment Adviser at LASALLE ST SECURITIES, L.L.C. located at 940 N. INDUSTRIAL DR., ELMHURST, IL, 60126-1131.
PETER LUCINA has worked at LASALLE ST SECURITIES, L.L.C. since July 13, 1996
Disclosure History
PETER LUCINA has 5 Disclosure Event(s).
Date: April 15, 2002 Category: Customer Dispute Allegations: AELLEGES UNSUITABLE INVESTMENT IN A PRIVATE PLACEMENT. Damage Amount Requested: $110,000.00 Settlement Amount: $10,000.00 Broker Comment: RESPONDENT LUCINA STATES THAT HE WAS DISMISSED WITH PREJUDICE FROM THIS ARBITRATION BY LASALLE ST. SECURITIES AND CLAIMANT AS A CONDITION OF THE SETTLEMENT.
Date: October 28, 1996 Category: Customer Dispute Allegations: CLAIMANT [CUSTOMER] ALLEGED UNAUTHROIZED TRADINGIN HIS ACCOUNT. Damage Amount Requested: $193,000.00 Damages Granted: $20,000.00 Broker Comment: RESPONDENTS [THIRD PARTY] AND PETERLUSINA ARE JOINTLY AND SEVERALLY LIABLE FOR AND SHALL PAY TOCLAIMANT [CUSTOMER] COMPENSATORY DAMAGES OF TWENTY THOUSANDDOLLARS. THE CLIAMS FOR PUNITIVE DAMAGES WERE DISMISSED ANDDENIED.NOT PROVIDED
Date: May 15, 1995 Category: Customer Dispute Allegations: CUSTOMER ALLEGED UNSUITABILITY, CHURNING,WITH DAMAGES IN THE AMOUNT OF $312,000 Damage Amount Requested: $312,000.00 Settlement Amount: $10,000.00 Broker Comment: AGREED TO SETTLE THIS MATTER ON THE ADVICE OFCOUNSEL GIVEN THE COST AND UNCERTAINTY OF LITIGATION. ICONTRIBUTED $5,000 TO THE TOTAL SETTLEMENT OF $10,000Not Provided
Date: May 13, 1993 Category: Regulatory Initiated By: INDIANA SECURITIES DIVISION Allegations: THE INDIANA SECURITIES DIVISION ALLEGES THATCHRISTOPHER JAMES HOLTKAMP AND PETER LUCINA ENTERED INTOAGREEMENT WITHOUT ADMITTING TO VIOLATIONS. BOTH HAVE AGREED TOPAY RESTITUTION TO COMPLAINANT. Resolution: Consent SanctionDetails: Sanctions: Disgorgement/Restitution Sanction Details: PAYMENT OF RESTITUTION IN THE AMOUNT OF $6,852.50AND COST OF INVESTIGATION OF $1,500.00 AND ARE SUBJECT TO A 1YEAR PERIOD TO STRICTER SUPERVISORY PROCEDURES JOINTLY ANDSEVERALLY. Broker Comment: RESPONDENT WOULD MAINTAIN THAT NO VIOLATION OFANY KIND OCCURRED IN RELATION TO THE JONES ACCOUNT.
Date: July 10, 1992 Category: Employment Separation After Allegations Firm Name: J.W. GANT Termination Type: Permitted to Resign Allegations: SEQUENCE #169-19092J.W. GANT ALLEGED THAT I WAS TERMINATED FROMMY JOB FATHER THAN RESIGNING. Broker Comment: UNKNOWN; INVESTIGATATION CONTINUESJ.W. GANTS POSITION THAT I WAS TERMINATED AND/ORREPORTING THAT I WAS TERMINATED IS COMPLETELY FALSE. MYSELF ANDMOST OF THE OFFICE RESIGNED DUE TO THE FACT THAT THE WORKINGCONDITIONS WERE UNSATISFACTORY AND NOT CONDUCIVE TO FAVORABLECLIENT RELATIONS. SPECIFICALLY, THE COMPANY WAS BEINGEMBEZZLED, WITHOUT OUR KNOWLEDGE BY OUR OWNER AND CEO FRANKPALUMBO. WHEN THIS BECAME PUBLIC IT WAS VIRTUALLY IMPOSSIBLE TOTRADE, IN ADDITION TO NASD RESTRICTION WHICH FURTHER RESTRICTEDOUR TRADING. THOSE CONDITIONS NECESSITATED THAT WE RESIGN INORDER TO PROTECT OUR CLIENTS AND OURSELVES.
More Information
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