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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).

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Guiliano Law Group

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