Berthel Fisher Fires Stockbroker For Failure To Comply
Andrew Jay Lowe of Centre Alabama is a stockbroker formerly registered with Berthel Fisher and Company Financial Services who has been fired on November 1 2017 based upon allegations that he failed to timely make required disclosures to Financial Industry Regulatory Authority (FINRA) regarding his activities.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that a customer initiated investment related arbitration claim involving Lowe’s conduct was settled for $47,500.00 in damages supported by accusations of fraudulent misrepresentation, negligence, violations of FINRA and National Association of Securities Dealers (NASD) rules, breach of fiduciary duty, omissions, misrepresentations and suitability in reference to unit investment trust and mutual fund transactions executed in the customer’s accounts. FINRA Arbitration No. 14-00439 (May 11, 2015).
Since November 16, 2017, Lowe has been registered with Dempsey Lord Smith, LLC.
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