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Financial Advisor, Adam Michael Lopez, Barred By FINRA After Being Terminated By Country Capital Management

The Wolper Law Firm is currently investigating claims against Adam Michael Lopez, a former Financial Advisor at Country Capital Management in Springfield, Illinois.  Adam Michael Lopez has been in the securities industry since 2008 and has worked at Country Capital Management his entire career. 

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2018, Adam Michael Lopez was discharged by Country Capital Management for the following alleged misconduct:

“Individual was terminated by Firm due to termination by affiliated insurance companies for alleged violation of provisions in his insurance agent contract relating to obligations of honesty. Not securities related.”

Following his termination, FINRA initiated an investigation into Adam Lopez’s sales practices, which culminated on December 17, 208 with a censure, barring him from associating with any broker-dealer.  Adam Lopez refused to participate in or respond to FINRA’s investigation.  The FINRA sanction states:

“On October 4, 2018, Country Capital amended Lopez’s Form U5 to state that he was under investigation by a domestic or foreign governmental body or selfregulatory organization with jurisdiction over investment-related business. The Amended Form U5 also stated that Lopez currently or at termination was under internal review for, and was discharged or permitted to resign after allegations were made alleging, fraud or wrongful taking of property, or violating investment-related statutes, regulations, rules or industry standards of conduct.” 

For a full copy of FINRA sanction, click https://www.finra.org/sites/default/files/fda_documents/2018059935201%20Adam%20Michael%20Lopez%20CRD%205562750%20AWC%20jm.pdf.

In addition, Adam Lopez currently has five pending customer complaints, alleging sales practice violations.  All of the complaints allege some variation of “fraud” and/or “embezzlement.”  For a review of these disclosures, click https://brokercheck.finra.org/individual/summary/5562750#disclosuresSection.

Broker theft is a growing concern in the financial services industry.  Brokerage firms must have a system of supervision in place to monitor transactions and disbursements from brokerage accounts.  To the extent a brokerage firm does not properly discharge its supervisory duties, it may be held responsible for unlawful or unauthorized distributions from the account. 

The Wolper Law Firm is interested in speaking with clients of Adam Lopez as part of its investigation.  We can be reached at 800.931.8452 or by email at mwolper@wolperlawfirm.com

The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis.  Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities.  Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters. 

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