Thorough knowledge of the federal securities laws and regulations, accounting practices, capital formation, and the customs and practices of the securities industry. Proficient in examining and investigating broker dealer activities and investment advisers; inspecting the activities of Self Regulatory Organizations; making effective oral and written presentations; analyzing complex financial records and transactions; conducting internet research; investigating illegal broker dealer activities; analyzing and calculating markups and markdowns; and using a personal computer to prepare detailed trading schedules and other exhibits.
Employment
History
RL Consulting Services Inc.
President • May 1996 to Present
• Since May 1996, Mr. Lowry has been President of RL Consulting Services, Inc, which is located outside of Washington DC in Leesburg, VA.
• His background includes nearly 40 years of experience in the securities industry, including 23 years with the Securities and Exchange Commission, where he was responsible for conducting regulatory examinations and participating in enforcement matters.
• The SEC work experience provided Mr. Lowry with the knowledge, tools and understanding of the securities laws, which he now provides to his clients. His clients include public companies, investors, broker dealers, investment advisers, state and federal regulatory agencies and the Department of Justice.
• Qualified in matters involving best execution, market manipulation, supervision of broker dealers and investment advisers, sales practices, suitability, churning, clearing firm liability and selling away.
• Retained in over 700 matters ranging from securities arbitration, state and federal regulatory proceedings, state and federal criminal and civil court proceedings, as well as compliance related audits for broker dealers and investment advisers.
• Appeared in federal court (criminal and civil) on more than 50 occasions since 1996 and qualified or offered opinions as an expert in market manipulation, suitability, churning, supervision and insider trading.
• Published articles which addressed the subjects of supervision and best execution for the Practicing Law Institute and the Public Investors Arbitration Bar Association, and has appeared on Bloomberg Television. He is recognized as an expert in the field of federal securities laws and regulations, accounting practices, capital formation and the customs and practices of the securities industry.
SER Voting Member
