Marc Lowell Investigation
September 2022- Ft. Lauderdale, FL
The FINRA records of Marc Layne Lowell, a stockbroker previously employed by LPL Financial and who is currently employed with Alliance Global Partners (AGP), disclose a regulatory event and a termination.
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.
In October of 2021, Lowell was discharged from employment with LPL Financial in response to allegations that he failed to disclose an outside business activity.
Lowell had been with LPL Financial since February of 2018. Before that time he was with Invest Financial Corporation. At this time he is employed with AGP. Lowell discloses affiliations with these investment related businesses: A.I.D. Wealth Management, the A.I.D. Group, Advisors Insurance Group, Advisors Insurance Direct, The 401(K)ompany, Whiskey Hill Lodge and Lowell Financial, Inc.
If you have losses in an account handled by Marc Layne Lowell , contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney, at no cost to you.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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