The Financial Industry Regulatory Authority (FINRA) permanently barred
registered representative Lisa Lowi for failing to provide on-the-record
testimony sought by the regulator relating to a pending customer complaint
alleging that Ms. Lowi engaged in unsuitable trading.
Lowi (CRD# 1347790) is no longer registered with any securities firm, but
was formerly associated with Janney Montgomery Scott LLC, in Boca Raton,
Florida; and RBC Capital Markets LLC, and J.B. Hanauer & Co., in West
Palm Beach, Florida. Lowi has also been registered with financial firms
in New York and New Jersey. Lisa Lowi was first registered in 1985.
Lisa Lowi’s FINRA BrokerCheck report identifies approximately 37
prior customer disputes.
The current complaint alleges that Ms. Lowi recommended unsuitable investments
in energy sector corporate bonds. The complaint also alleges negligence
and breach of fiduciary duty.
Prior to making recommendations to any customer, brokers are required under
industry rules to obtain information about the customer’s finances
and investment goals and objectives. Additionally, brokers have a duty
to research investments to ensure they align with their client’s
situation and goals.
If you lost money in investments recommended to you by Lisa Lowi, or if
you suspect your financial advisor has sold you unsuitable investments,
the experienced investment attorneys at Meyer Wilson may be able to help
you recover your losses.