Investigation of Lisa Lowi
Have you suffered losses investing with Lisa Lowi? If so, The White Law Group may be able to help.
According to FINRA, Lisa Lowi has thirty-three customer disputes since she’s been registered in the securities industry. According to the information provided in the BrokerCheck, the customer disputes include the following allegations:
| 09/16/2016 – Customer Dispute – Pending | ||
| Allegations:
Clients allege the representative was involved as an “intermediary or conduit” in alleged unsuitable recommendations of energy sector corporate bond investments. This is one of numerous cases brought by Attorney Jason Haselkorn involving former FA Lisa Lowi. Damage Amount Requested |
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| 09/14/2016 – Customer Dispute – Pending | ||
| Allegations:
Client alleges the representative was involved as an “intermediary or conduit” in alleged unsuitable recommendations of energy sector corporate bond investments. This is one of numerous cases brought by Attorney Jason Haselkorn involving former FA Lisa Lowi. Damage Amount Requested $400,000.00 |
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| 09/09/2016 – Customer Dispute – Pending | ||
| Allegations:
Clients allege overconcentration in energy sector corporate bonds, a violation of federal securities laws and breach of contract. Damage Amount Requested $750,000.00 |
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| 09/01/2016 – Customer Dispute – Pending | ||
| Allegations:
Clients allege over concentration in energey sector corporate bonds, a violation of federal securities lawas nad breach of contract. Damage Amount Requested $250,000.00 |
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| 08/23/2016 – Customer Dispute – Pending | ||
| Allegations:
Clients allege over-concentration in energy sector corporate bonds, in period 2013 to 2015, violation of federal securities laws and breach of contract. Damage Amount Requested $498,237.06 |
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| 07/26/2016 – Customer Dispute – Pending | ||
| Allegations:
Clients allege broker recommended unsuitable ‘junk’ bonds, in period 5/2013 to 9/2015. This is one of numerous cases brought by Attorney Jason Haselkorn involving former FA Lisa Lowi. Damage Amount Requested $150,000.00 |
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| 07/13/2016 – Customer Dispute – Pending | ||
| Allegations
Client complains that an energy-related bond was not in line with his investment goals and that that he was not kept informed of developments after he purchased the bonds. Time frame is 12/2014 to 5/2016. Damage Amount Requested $40,000.00 |
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| 06/20/2016 – Customer Dispute – Settled | ||
| Allegations:
Clients complain of losses in energy-related bonds and claim that a particular purchase from February 2015 was unauthorized. Damage Amount Requested $59,617.00 Damages Granted $20,000.00 |
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| 05/12/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimants allege that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $275,000.00 |
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| 05/11/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $275,000.00 |
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| 05/11/2016 – Customer Dispute – Pending | ||
| Allegations
Claimants allege that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $950,000.00 |
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05/10/2016 – Customer Dispute – Pending |
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| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $75,000.00 |
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| 04/25/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $600,000.00 |
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| 04/14/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $350,000.00 |
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| 04/08/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $100,000.00 |
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| 03/31/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $500,000.00 |
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| 03/28/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $325,000.00 |
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| 03/23/2016 – Customer Dispute – Pending | ||
| Allegations:
CLAIMANT ALLEGES THAT THE REPRESENTATIVE WAS INVOLVED AS AN INTERMEDIARY OR CONDUIT IN UNSUITABLE RECOMMENDATIONS OF ENERGY SECTOR CORPORATE BOND INVESTMENTS. Damage Amount Requested $375,000.00 |
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| 03/23/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $450,000.00 |
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| 03/23/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $300,000.00 |
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| 03/22/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $250,000.00 |
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| 03/22/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $175,000.00 |
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| 03/22/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $200,000.00 |
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| 03/22/2016 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges that the representative was involved as an intermediary or conduit in unsuitable recommendations of energy sector corporate bond investments. Damage Amount Requested $375,000.00 |
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| 03/11/2016 – Customer Dispute – Settled | ||
| Allegations:
CLIENTS COMPLAIN THAT THEY WANTED ONLY CONSERVATIVE BONDS, BUT THEIR FINANCIAL ADVISOR RECOMMENDED THAT THEY PURCHASE HIGH YIELD BONDS WHICH SUBSEQUENTLY PERFORMED POORLY. TIME FRAME IS 10/2007 TO 8/2015. Damage Amount Requested $37,000.00 Damages Granted $16,653.75 |
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| 01/04/2016 – Customer Dispute – Settled | ||
| Allegations:
CLIENT VERBALLY COMPLAINED ABOUT POOR SERVICE AND LOSSES SHE EXPERIENCED ON BONDS SHE PURCHASED ON HER FINANCIAL ADVISOR’S RECOMMENDATION. TIME FRAME 9/12 TO 11/15. Damage Amount Requested $45,000.00 Damages Granted $27,500.00 |
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| 12/23/2015 – Customer Dispute – Settled
Allegations: THIRD PARTY WROTE TO EXPRESS CONCERN REGARDING LOSSES CLIENT INCURRED ON BONDS WHICH HE BELIEVES WERE NOT SUITABLE FOR A CONSERVATIVE INVESTOR. TIME FRAME IS 11/14 TO 11/15. Damages Granted $65,233.50 |
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| 12/14/2015 – Customer Dispute – Withdrawn | ||
| Allegations:
CLIENT COMPLAINS THAT SHE RECEIVED POOR SERVICE AND THAT BONDS SHE PURCHASED WERE NOT APPROPRIATE FOR SOMEONE WITH HER RISK PROFILE. TIME FRAME IS 6/14 TO 10/15. |
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| 09/25/2015 – Customer Dispute – Settled | ||
| Allegations:
CLIENT COMPLAINS ABOUT A LOSS IN A CORPORATE BOND AND COMPLAINS THAT HER FINANCIAL ADVISOR DID NOT ADVISE HER TO SELL THE BOND. TIME FRAME IS 06/13/13 TO 09/29/15. Damage Amount Requested $45,003.00 Damages Granted $15,000.00 |
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| 07/11/2015 – Customer Dispute – Settled | ||
| Allegations:
CLIENT CONTENDS THAT THE BOND INVESTMENTS IN HIS ACCOUNT ARE NOT CONSISTENT WITH HIS INVESTMENT OBJECTIVE AND RISK TOLERANCE. Damages Granted $10,000.00 Broker Comment |
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| 02/25/2015 – Customer Dispute – Pending | ||
| Allegations:
Claimant alleges the investment recommendations for his account were unsuitable based on his age and investment objectives and that risks were not disclosed prior to purchase. Damage Amount Requested $68,570.00 |
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Lisa Lowi was registered with Janney Montgomery Scott in Boca Raton, FL from 11/2015 – 04/2016 and RBC Capital Markets in West Palm Beach, FL from 10/2009 – 11/2015.
The White Law Group is investigating the liability that Lowi’s employers may have for losses sustained by Lowi’s clients. Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules and they can held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent.
If you suffered losses investing with Lisa Lowi, the attorneys at The White Law Group may be able to help. For a free consultation, 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, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For more information on The White Law Group and it’s representation of investors, visit www.whitesecuritieslaw.com.
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