James Francis Lowe of New York New York a stockbroker and supervisor currently registered with Oppenheimer Co. Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $25,000.00 in damages founded on accusations that Lowe failed to supervise one of the firm’s financial advisors servicing the customer’s account who made unsuitable exchange traded fund transactions in the customer’s investment account between February of 2016 and March of 2016. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-02441 (July 21, 2017).
FINRA Public Disclosure also reveals that Lowe has been fined $30,000.00 and suspended by National Association of Securities Dealers (NASD) based upon Lowe’s consent to findings that Lowe engaged in violative activities while owner and managing principal of J.F. Lowe & Co. Letter of Acceptance Waiver and Consent No. 9063.
Lowe has been employed by Oppenheimer Co. Inc. since January 2, 2002.
