December 2016-Lubbock, Texas
According to publicly available records Daryl Eugene Allison , (CRD# 3686) , a stockbroker who is registered with Lowell & Company, has been permanently barred by FINRA from engaging in principal and supervisory activities. FINRA Case#2014039096601.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Allison has been employed by Lowell & Company since 5/2015. Prior to that he was registered with Caprock Securities. FINRA cancelled Caprock Securities‘ license in November 2015.
If you have questions about an account in an account handled by Daryl Allison , contact us to discuss your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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