September 2018- Lubbock, Texas
The FINRA records of William (“Bill”) Hamilton Lowell , a financial advisor who is currently registered with Lowell & Company , disclose two prior regulatory issues and a pending customer disputes.
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.
In currently pending FINRA case 17-3223 a customer of Lowell Asset Management alleges damages of $6,000,000 as a result of investments made in exchange traded funds (ETFs).
Bill Lowell owns over 75% of Lowell & Company where he serves as chief compliance officer and President.
If you have losses in an account handled by Bill Lowell , call for a no charge consultation to learn about your options for recovery of damages.
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.
Florida-561 391 1900