Defective ETF Investments

William Hamilton Lowell (also known as Bill Lowell) of Dallas Texas a stockbroker currently registered with Lowell Company Inc. and Crescent Securities Group Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $500,000.00 in damages founded on accusations that exchange traded fund transactions executed by the stockbroker were unsuitable; and the customer’s account was overconcentrated in speculative and inappropriate investments by Lowell when he was associated with Lowell Company Inc. Financial Industry Regulatory Authority (FINRA) Arbitration No. 19-01699 (June 18, 2019).

FINRA Public Disclosure reveals that another customer initiated investment related arbitration claim in regard to Lowell’s activities was resolved for $375,000.00 in damages based upon allegations that during the time that Lowell was associated with Lowell Asset Management, the customer had been placed into exchange traded funds which were not suitable given the customer’s tolerance for risk. FINRA Arbitration No. 17-03223 (Apr. 15, 2019).

FINRA Public Disclosure additionally confirms that Lowell has been sanctioned by at least two securities regulators. For example, Lowell was ordered by the Alabama Securities Commission to pay $7,000.00 and cease and desist violating Alabama securities laws supported by accusations of Lowell effecting two hundred fifty two purchases or sales in the account of customers who resided in a state in which Lowell lacked stockbroker registration. Case No. 2000-0056.

Lowell has been employed by Lowell Company Inc. since September 19, 1989 and Crescent Securities Group since January 18, 2019.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

Questions or comments regarding the source or accuracy of any information, including any subsequent developments, should be directed to:  [email protected]

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer.

Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at

Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.  
National Practice. Contingent Fee. Confidential Free Consultation.

 (877) SEC-ATTY

1700 Market Street, Suite 1005
Philadelphia, PA 19103
Direct: (215) 413-8223
Toll Free: (877) 732-2889

1260 South Soto Street, Suite 7
Los Angeles, California 90023
Direct: (213) 255-3475
Toll Free: (877) 732-2889

2750 NE 185th Street, Suite 302
Aventura, Florida 33180-2877
Direct: (786) 490-2413
Toll Free: (877) 732-2889

See Important Disclaimer

Tags: , ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)