California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Securities
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Products
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog
legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Name:
Email:
Phone:
Are you a new client?
Message:
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints

FINRA barred former RBC Capital Markets and Janey Montgomery Scott representative Lisa Jacqueline Lowi (Lisa Vineberg) after she failed to cooperate with an investigation concerning customer complaints and arbitration claims alleging unsuitable trading, unauthorized transactions, and similar violations.

AWC #2016048424901

Lowi (CRD #1347790)'s BrokerCheck report lists 38 disclosures, including a score of pending and settled complaints from 2015 to the present alleging unsuitable investments not consistent with client investment objectives, conservative profiles, or risk tolerance preferences. One settled complaint, for instance, alleged that Lowi recommended unsuitable "junk" bonds from 2013-15, while another settled complaint alleged that unsuitable level of high-risk investments resulted in losses despite the clients' desire for income and principal protection.

Other settled complaints filed against Lowi alleged overconcentration in energy sector bonds, unauthorized securities transactions, breach of contract, and violation of federal securities laws.

According to InvestmentNews, Lowi voluntarily terminated her registration with RBC Capital in November 2015. According to BrokerCheck, Lowi's RBC registration terminated on November 3, 2015, while Lowi's association with Janey Montgomery Scott began on November 10, 2015 and concluded on April 29, 2016.

If you have invested with ex-RBC Capital and Janey Montgomery Scott broker Lisa Jacqueline Lowi or with any representative or financial adviser whose unsuitable recommendations, unauthorized transactions, or overconcentration violations in contravention of your conservative/moderate risk tolerance preferences or investment objectives has proven harmful t your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

accolades
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
Website: