Lawrence Marc Lowe, of New York, New York, a stockbroker formerly employed with Laidlaw & Company (UK) Ltd., is the subject of a customer initiated investment related arbitration claim, which settled for $7,500.00 in damages supported by accusations that between 2015 and 2017, unsuitable stock and over-the-counter equities transactions were executed in the customer’s investment account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-03612 (Oct. 16, 2017).
FINRA Public Disclosure reveals that Lowe has been referenced in two customer initiated investment related disputes pertaining to allegations of his misconduct while employed with John Thomas Financial and GunnAllen Financial, Inc.
On May 6, 2008, a customer filed an investment related written complaint involving Lowe’s conduct, where the customer sought $5,001.00 in damages founded on accusations that securities had been improperly sold from the customer’s over-the-counter equities portfolio, transactions failed to be placed according to the customer’s instructions, and funds were improperly withdrawn from the customer’s account.
Then, on September 10, 2009, a customer initiated investment related written complaint regarding Lowe’s activities was resolved for $4,650.10 in damages based upon allegations that Lowe effected the purchase of ten thousand Citicorp. shares without the customer’s authorization.
Since July 18, 1995, Lowe has been associated with twenty-one different broker dealers, nine of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct.
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