Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lowry Bayley (Bayley), previously associated with Sanctuary Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bayley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on January 16, 2022.
Alleged failure to diversify customer’s account.