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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.

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.