Vintage bond certificate

Lawrence Marc Lowe (also known as Larry Lowe) of New York New York a stockbroker formerly registered with Laidlaw Company (UK) Ltd. is the subject of a customer initiated investment related arbitration claim in which the customer sought $100,000.00 in damages based upon accusations that the customer’s investment instructions had been disregarded by Lowe as it pertained to stock and over-the-counter equities trades. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-02554 (July 24, 2018).

FINRA Public Disclosure reveals that Lowe has been referenced in three additional customer initiated investment related disputes containing allegations of his violative conduct during the period in which he was employed by securities broker dealers including GunnAllen Financial Inc., Laidlaw Company and John Thomas Financial. Specifically, Lowe is the subject of a customer initiated investment related written complaint in which the customer requested more than $5,000.00 in damages based upon allegations of the misuse of customer funds and failure to execute the customer’s instructions of liquidating over-the-counter equities from the customer’s investment portfolio during the time that Lowe was associated with GunnAllen Financial.

Another customer initiated investment related complaint regarding Lowe’s activities was settled to resolve accusations that unauthorized stock trades were executed by Lowe in the customer’s account causing the customer to experience unwarranted losses. Lowe is also the subject of a customer initiated investment related arbitration claim which was settled to resolve allegations that from 2015 to 2017, the customer had been placed in common and preferred stock and over-the-counter equities which were wholly unsuitable. FINRA Arbitration No. 16-03612 (Dec. 16, 2016).

Lowe was terminated by Laidlaw Company (UK) Ltd. on February 16, 2017. FINRA Public Disclosure confirms that Lowe has been employed by nine different securities broker dealers who are either defunct or who have been expelled by securities regulators for violation of federal securities laws.