James Barton Lowther of Sarasota, Florida, a stockbroker currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, is the subject of a customer initiated investment related arbitration claim, in which the customer sought $300,000.00 in damages based upon accusations of misrepresentations and omissions, unsuitable investment recommendations, and unauthorized master limited partnership transactions between November of 2010 and July of 2017. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-01984 (July 27, 2017).
FINRA Public Disclosure additionally confirms that a customer filed an investment related arbitration claim regarding Lowther’s activities, where the customer requested $1,000,000.00 in damages supported by allegations that equity recommendations were not suitable for the customer; the customer’s investment instructions were not followed; and omissions and misrepresentations had been made to the customer between January of 2013 and July of 2016. FINRA Arbitration No. 16-02058 (July 15, 2016).
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.
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
Our practice is limited to the representation of investors. We accept representation 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 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 securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
