Lisa Lowi – Financial Advisor Lisa Lowi Barred from Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses
Lisa Lowi CRD #1347790
From 2015 until 2016, Lisa Lowi was licensed with Janney Montgomery Scott LLC. Lisa Lowi was previously licensed with RBC Capital Markets, LLC.
FINRA brought a disciplinary action against Lisa Lowi in 2017. Lisa Lowi consented to a bar from the securities industry. Lisa Lowi consented to the entry of findings that Lisa Lowi refused to appear for FINRA on-the-record testimony in connection with its investigation regarding customer complaints and arbitration claims alleging, among other things, unsuitable trading.
FINRA reports twenty-five customer complaints were filed against Lisa Lowi alleging sales practice violations. The claims allegations include, but are not limited to, high risk investments, unsuitable recommendations, overconcentration and unauthorized trading. The claims were settled for as high as $187,500.
If you lost any money on investments with Lisa Lowi, you may be able to recover your losses from Janney Montgomery Scott LLC and/or RBC Capital Markets, LLC. This is because Janney Montgomery Scott LLC and RBC Capital Markets, LLC had a duty to supervise Lisa Lowi.
If you lost money on investments with Lisa Lowi and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Janney Montgomery Scott LLC and/or RBC Capital Markets, LLC, concerning Lisa Lowi’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on any investments with Lisa Lowi and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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