November 6, 2017 Comments (0) Blog, Current Investigations, Securities Fraud

Lisa Lowi – Florida Advisor – Barred from Securities Industry

Lisa Lowi
(Last Updated On: November 6, 2017)

Former RBC Advisor Lisa Lowi reportedly Barred after 37 Customer Disputes 

Did you lose money investing with Lisa Lowi and RBC Capital Markets? If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA Arbitration.

According to the Financial Industry Regulatory Authority (FINRA), Lisa J. Lowi has reportedly been permanently barred from the securities industry. In 2017, FINRA was allegedly investigating Lowi in connection with customer complaints and arbitration claims alleging, among other things, unsuitable trading.

On September 7, 2017, FINRA staff purportedly sent Lowi’s counsel a written request for on-the-record testimony.  Lowi allegedly refused to appear for testimony at any time.

According to FINRA BrokerCheck, Lisa Lowi was registered with Janney Montgomery Scott in Boca Raton, FL from November 2015 through April 2016. Prior to that, the report indicates she worked for RBC Capital Markets in West Palm Beach, FL from October 2009 through November 2015.

The report also indicates that has 37 customer disputes listed on her Broker report. Allegations include unsuitable trades in energy sector corporate bond investments, fraud, breach of fiduciary duty, and breach of contract, among others.

For FINRA’s full findings, see FINRA case number2016048424901.

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The White Law Group is investigating the liability that Lisa Lowi’s employers may have for losses sustained by her clients.  Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules. If it is determined that the broker dealer failed to supervise their agent, they can be held responsible for losses in a FINRA arbitration claim.

If you suffered losses investing with Lisa Lowi, the attorneys at The White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.

The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida.

For more information on The White Law Group, please visit www.whitesecuritieslaw.com.