ADAM LOPEZ and Country Capital Complaints – Springfield, IL
Adam Lopez of Country Capital Subject of Illinois Securities Department Complaint
Have you lost money with financial advisor Adam Lopez from Springfield, Illinois? We are continuing our investigation into allegations made by the Illinois Securities Department against Adam Lopez, who has been registered with Country Capital Management Company. Illinois alleged that Lopez swindled his family members (who were also clients) out of $403,000.
Adam M. Lopez was a registered representative and financial advisor of Country Capital Management Company from September 2008 to September 2018. He worked at a branch office in Springfield, Illinois. According to Lopez’s BrokerCheck report, he has been the subject of at least two customer complaints.
Broker-dealers like Country Capital have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives. Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations. When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington. We represent investors in FINRA arbitration in all 50 states, including over 150 investors in the past from throughout the Springfieldland area, Northern Illinois, and Central Illinois.
Attorney David Neuman was born in Berwyn, Illinois and grew up in the western suburbs in Addison. He earned a degree in Finance at the University of Illinois in Urbana-Champaign before earning his law degree at Northern Illinois University in DeKalb, Illinois. Mr. Neuman also previously worked for a number of Springfield area law firms, including firms in St. Charles, Geneva, Chicago, and Barrington.
Click to view: Lopez, Adam Illinois Complaint
Click to view: Lopez, Adam BrokerCheck 11.9.18
If you lost money with Adam Lopez or Country Capital Management, please CONTACT US at 720-599-3505 for a free evaluation of your case.