Jody Bryant Bowers of Abilene Texas a stockbroker formerly registered with Lowell Company Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought $6,000,000.00 in damages founded on allegations that (1) Bowers overconcentrated the customer’s assets in exchange traded funds over a six year period by failing to adjust the customer’s investment portfolio despite the customer’s requests for a reallocation and (2) Bowers effected trades in the customer’s investment account that were not suitable for the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-03223 (Aug. 22, 2017).
FINRA Public Disclosure confirms that on June 26, 2012, Bowers was discharged by her prior brokerage firm employer, First Heartland Capital, Inc., supported by accusations that Bowers violated the firm’s policies by having failed to disclose that she had engaged in an outside business activity, inappropriately accepted checks from customers that were made payable to a third party, and executed transactions with a customer without procuring authorization from First Heartland Capital.
Bowers’ registration with Lowell Company Inc. has been terminated as of June 8, 2018.
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