Last Updated: September 2023 (New York. NY)
Ian Lowrey Investigation Summary
Here’s what you need to know about New York, NY, stockbroker Ian Lowrey:
- Name: Mr. Ian Phillip Lowrey
- Current Employer: Not currently registered as a broker
- Previous Firms: Wynston Hill Capital (expelled by FINRA 6/2022, Spartan Capital Securities, Joseph Gunnar & Co., Garden State Securities, Dawson James Securities
- Function: Former Stock Broker/ Financial Advisor
- Aliases: None
- Primary Location: New York, NY
- CRD 6367392
- Can Ian Lowrey be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Ian Lowrey As Your Stockbroker?
In 5/2022 fined Ian Lowrey $5,000, ordered him to pay restitution in the amount of $48,116 to a former client and suspended him for three months , ending 8/2022, to resolve allegations that he excessively traded customer accounts while employed by Spartan Capital Securities. As a result of Lowrey’s excessive trading the customers lost more than $100,000 while paying commissions of nearly $50,000.
Allegations of Broker Misconduct Against Ian Lowrey
Securities regulators have alleged that Ian Lowrey committed the following wrongdoing in connection with the handling of customer accounts:
- Excessive trading (Churning)
- Unauthorized trading
- Unsuitable investment strategy
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Ian Lowrey , or any other broker with Spartan Capital Securities, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
