Amy Furuno: Ex-Ladenburg Advisor Received $3mm Complaint

A recent, denied investor complaint against New York City financial advisor Amy Furuno (CRD# 3108378) alleged that her conduct resulted in more than $3 million in damages. Financial Industry Regulatory Authority records show that she is registered as a broker with Lucid Capital Markets, having previously been registered with Ladenburg Thalmann & Company.

Ms. Furuno’s BrokerCheck report discloses one investor complaint. Filed in August 2024, it alleged that as a representative of Ladenburg Thalmann & Company, she engaged in unauthorized trading and unauthorized transfers. The complaint alleged damages of $3,350,000 and was denied by the firm.

Lucid Capital Markets’ website includes a page describing the firm’s mission to “offer personalized, tailored services while maintaining the execution capabilities of a larger financial institution.” Later on, this page describes the firm’s approach to working with its clients. “We are dedicated to providing expertise and solutions to meet our clients’ evolving needs,” it explains. “With a foundation built on innovation, integrity, and excellence, Lucid Capital Markets stands out as a trusted leader in the financial industry. Whether you’re a small business or a large corporation, our team is here to guide your financial journey with the precision and care you deserve.”

According to the Financial Industry Regulatory Authority, Amy Furuno holds 25 years of securities industry experience. Based in New York City, she has been registered as a broker with Lucid Capital Markets since May 2024. Her past registrations include Ladenburg Thalmann & Company (New York, New York; 2002-2024) and Ladenburg Capital Management (Bethpage, New York; 1999-2002). Her credentials include the passage of four securities industry qualifying exams: the Operations Professional Exam, or Series 99TO; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the Uniform Securities Agent State Law Examination, or Series 63. She is licensed in Arizona, California, Connecticut, Florida, Illinois, Maryland, Massachusetts, New York, North Carolina, Ohio, Pennsylvania, Texas, and Virginia. (Information current as of December 30, 2024.)

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