Tag Archives: Broker Negligence

Palm Beach County Broker Barred for Failure to Cooperate With a FINRA Investigation

According to information released by the Financial Industry Regulatory Authority (FINRA), Lisa J. Lowi (CRD #1347790) has been permanently barred from the securities industry. In late 2017, FINRA requested on-the-record testimony from Ms. Lowi as part of an investigation it was conducting into claims that she had recommended unsuitable investments to customers. Investigators report… Read More »