{"id":2583,"date":"2017-02-17T00:00:00","date_gmt":"2017-02-17T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/new-jersey-broker-lucas-lichtman-fined-suspended-finra\/"},"modified":"2018-10-08T12:37:29","modified_gmt":"2018-10-08T16:37:29","slug":"new-jersey-broker-lucas-lichtman-fined-suspended-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/new-jersey-broker-lucas-lichtman-fined-suspended-finra\/","title":{"rendered":"New Jersey Broker Lucas Lichtman Fined and Suspended by FINRA"},"content":{"rendered":"<\/p>\n

\"New<\/p>\n

The broker is reported to have made investments to generate commissions for himself<\/h2>\n

Lucas Lichtman cannot act as a broker again until July of 2017. In October of 2016, the Financial Industry Regulatory Authority (FINRA) handed him a nine-month suspension \u2013 as well as a fine of $7,500 \u2013 due to allegations that he made unsuitable recommendations that also resulted in extra commissions.<\/p>\n

A relatively new broker, Lichtman has only worked in New Jersey, first for Investors Capital Corp. out of Englewood Cliffs in 2008. He then joined World Equity Group, Inc. also in Englewood Cliffs; then SWS Financial Services located in Tenafly. Lichtman\u2019s most recent firm was another Englewood Cliff outfit: Caldwell International Securities. It was there that he was accused of making unsuitable recommendations and churning.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The broker is reported to have made investments to generate commissions for himself Lucas Lichtman cannot act as a broker again until July of 2017. In October of 2016, the Financial Industry Regulatory Authority (FINRA) handed him a nine-month suspension \u2013 as well as a fine of $7,500 \u2013 due to allegations that he made […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[9],"class_list":["post-2583","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-finra"],"yoast_head":"\nNew Jersey Broker Lucas Lichtman Fined and Suspended by FINRA — Securities Arbitration Lawyers Blog — February 17, 2017<\/title>\n<meta name=\"description\" content=\"Check out the new article New Jersey Broker Lucas Lichtman Fined and Suspended by FINRA on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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