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James Lowe Received a Regulatory Sanction

James LowePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 26, 2016 indicate that New York-based Oppenheimer & Company broker/adviser James Lowe, also known as James Lowell, has received a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lowe (CRD# 1048806).

James Lowe has spent 34 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2012. Previous registrations include Josephthal & Company in New York, New York; Tradewell Discount Investing in San Diego, California; JF Lowe & Company; Greentree Securities; Brooks Weinger Robbins & Leeds; JW Gant & Associates; Vanderbilt Securities; Norbay Securities; Blinder Robinson & Company; and Dean Witter Reynolds. He is a registered broker and investment adviser with fifty US states and territories.

According to his BrokerCheck report, James Lowe has received one pending customer complaint and one regulatory sanction.

In August 2016 a customer filed a complaint against James Lowe, while he was employed at Oppenheimer & Company, alleging that “the branch office manager did not appropriately supervise the financial advisor assigned to the customer’s account in which unsuitable trades were made.” The customer is seeking more than $107,400 in damages in the pending complaint.

In 1990 the National Association of Securities Dealers sanctioned James Lowe following allegations he violated FINRA rules. He was censured and issued a fine of $30,000. He was also issued a 10-day suspension from acting as a securities representative and a 90-day suspension from acting as a principal.

If you or someone you know has lost money investing with James Lowe, also known as James Lowell, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 26, 2016 indicate that New York-based Oppenheimer & Company broker/adviser James Lowe, also known as James Lowell, has received a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lowe (CRD# 1048806).

James Lowe has spent 34 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2012. Previous registrations include Josephthal & Company in New York, New York; Tradewell Discount Investing in San Diego, California; JF Lowe & Company; Greentree Securities; Brooks Weinger Robbins & Leeds; JW Gant & Associates; Vanderbilt Securities; Norbay Securities; Blinder Robinson & Company; and Dean Witter Reynolds. He is a registered broker and investment adviser with fifty US states and territories.

According to his BrokerCheck report, James Lowe has received one pending customer complaint and one regulatory sanction.

In August 2016 a customer filed a complaint against James Lowe, while he was employed at Oppenheimer & Company, alleging that “the branch office manager did not appropriately supervise the financial advisor assigned to the customer’s account in which unsuitable trades were made.” The customer is seeking more than $107,400 in damages in the pending complaint.

In 1990 the National Association of Securities Dealers sanctioned James Lowe following allegations he violated FINRA rules. He was censured and issued a fine of $30,000. He was also issued a 10-day suspension from acting as a securities representative and a 90-day suspension from acting as a principal.

If you or someone you know has lost money investing with James Lowe, also known as James Lowell, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.