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Written by 3:29 pm Blog, Current Investigations

Benjamin Lowder Jr. Broker Investigation

Benjamin Lowder Jr.  Broker Investigation, featured by top securities fraud attorneys, The White Law Group

Financial Advisor Benjamin Lowder Jr., MSI Financial Services in Charlotte, NC

Are you concerned about investments with Benjamin Lowder Jr. in Charlotte, NC? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.

According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Lowder from working in the securities industry after he allegedly refused to provide testimony in FINRA’s investigation.

FINRA’s investigation was reportedly in connection with investor-related civil lawsuits disclosed in amended Form U5s submitted by Lowden’s former member firm. The findings stated that the civil lawsuits alleged unfair and deceptive trade practices and state securities fraud regarding investments in fictitious entities.

According to his FINRA BrokerCheck report, Lowder was reportedly affiliated with MSI Financial Services in Charlotte, NC from November 2000 until 2017. His broker record indicates 7 customer complaints have allegedly been filed against him. Allegations include “Unfair and Deceptive Trade Practice, State Securities Fraud regarding investments made, in several fictitious entities.”

Investigating Potential Claims

The White Law Group is investigating potential lawsuits regarding the liability that Lowder’s employers may have for failure to properly supervise him.

When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.

We represent investors in FINRA arbitration claims in all 50 states, including North Carolina. Our attorneys have recovered millions of dollars from many brokerage firms in the past.

If you are concerned about your investments with Benjamin Lowder Jr., please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.

For more information on The White Law Group, and its representation of investors, please visit WhiteSecuritiesLaw.com.



Tags: , , , , , , , , Last modified: January 5, 2023