Adam Michael Lopez Allegedly Engaged in Acts of Fraud or Wrongful Taking of Property, or Violating Investment-related Statutes, Regulations, & Industry Standards of Conduct
Adam Lopez reportedly engaged in alleged acts of fraud or wrongful taking of property, or violating investment-related statutes, regulations, rules or industry standards of conduct, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC) under review by investor rights attorney Alan Rosca.
Country Capital Management Company, on September 21, 2018, reportedly terminated Lopez‘s registration by filing a Uniform Termination Notice (Form U5) noting that Lopez was terminated by firm due to termination by affiliated insurance companies for alleged violation of provisions in his insurance agent contract, and that the termination was not securities related, according to the aforementioned AWC notes.
Adam Lopez was registered with Country Capital Management Company in Springfield, Illinois from September 16, 2008 until September 21, 2018, the AWC reports, and has not been registered with any other firms.
Lopez has five pending customer disputes filed since September 2018 requesting amounts between $22,000 and $314,000, Lopez’s FINRA BrokerCheck notes.
Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Adam Lopez’s alleged fraud. Investors who believe they may have lost money in activity related to Adam Lopez’s alleged fraud are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
Adam Lopez Barred by FINRA
Adam Lopez, by virtue of the aforementioned alleged behavior, fell under the scope of a FINRA investigation, the AWC states.
Lopez was subsequently barred by FINRA for refusing to provide FINRA with requested documents and information in connection with its investigation after it learned that the firm had opened an internal review into Lopez‘s conduct, the AWC reports.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated, and that Adam Lopez reportedly consented to the FINRA settlement without admitting to or denying FINRA’s findings.
Securities Lawyer Investigating
The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Adam Lopez’s alleged fraud. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of Adam Lopez’s alleged fraud may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at firstname.lastname@example.org, or through the contact form on this webpage.