Lisa Lowi; RBC Capital Markets; West Palm Beach, Florida

AdobeStock_49363801-1-300x200Did you or someone you know lose money with former broker Lisa Lowi? If so, you may be able to sue her former firm, RBC Capital Markets on a contingency fee basis for those losses. Lowi allegedly was accused of unsuitable trading and other securities law violations, and refused to appear for an on-the-record testimony with the Financial Industry Regulatory Authority (FINRA). Therefore, FINRA barred him from the industry on a permanent basis. Allegations against her according to her FINRA BrokerCheck report include unsuitable trades in energy sector corporate bond investments, fraud, breach of fiduciary duty, and breach of contract. She has 37 customer disputes against her, which is a large number of customer disputes, compared to other industry brokers. Her former firm, RBC Capital Markets, had a duty to reasonably supervise her while she was registered there, and, because it did not, can be held liable for losses. We are Chicago-based attorneys who sue firms in the FINRA arbitration forum. The call to us is free with no obligation, so please call us today for your consultation. There is a statute of limitations on most cases, so time is of the essence. Attorneys are standing by.
Lisa Lowi was previously registered with J.B. Hanauer in Parsippany, New Jersey from April 1985 until November 1990, Prudential-Bache Securities in New York from November 1990 until February 1991, J.B. Hanauer in West Palm Beach, Florida from February 1991 until October 2009, RBC Capital Markets in West Palm Beach from October 2009 until November 2015 and Janney Montgomery Scott in Boca Raton, Florida from November 2015 until April 2016. 12 of her 37 customer disputes are currently pending. He is currently not registered within the industry, and has been permanently barred.

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