Lisa Lowi from West Palm Beach, Florida Barred From Securities Industry
Have you lost money with financial advisor Lisa Lowi of West Palm Beach, Florida? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Lisa J. Lowi. FINRA barred Lisa Lowi from the securities industry after she failed to respond to an investigation. FINRA was investigating Lowi regarding numerous arbitration cases filed against her, alleging unsuitable investment recommendations related to energy, oil, and gas corporate bonds.
Lisa Lowi was a financial advisor and registered representative of RBC Capital Markets from October 2009 to November 2015. She also worked with Janney Montgomery Scott from November 2015 to April 2016. She worked at a branch office in West Palm Beach, Florida. Lowi has been the subject of 37 customer complaints, most of which were filed within the last few years, and most relate to the sale of energy, oil, and gas corporate bonds.
Brokerage firms like RBC Capital Markets have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida and throughout southern Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Lowi, Lisa FINRA AWC
Click to view: Lowi, Lisa BrokerCheck 11.6.17
If you lost money with Lisa Lowi or RBC Capital Markets, please CONTACT US at 206-795-5798 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.