James Barton Lowther is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1819 MAIN ST, SARASOTA, FL, 34236.
James Barton Lowther has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since November 12, 2010
Disclosure History
James Barton Lowther has 2 Disclosure Event(s).
Date: August 04, 2017 Category: Customer Dispute Allegations: The Customer alleges unauthorized trading, unsuitable investment recommendations, and misrepresentation and omission of material facts from November 2010 to July 2017. Damage Amount Requested: $300,000.00
Date: July 27, 2016 Category: Customer Dispute Allegations: The Customers allege unauthorized trading, unsuitable investment recommendations, failure to follow instructions and misrepresentation and omission of material facts from January 2013 to July 2016. Damage Amount Requested: $1,000,000.00
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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