| Read Time: 2 minutes |

DID ENRIQUE LOPEZ CAUSE YOU INVESTMENT LOSSES?

Enrique Lopez Of Arkadios Capital And Formerly LPL Financial, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years

Who is Enrique Lopez currently with Arkadios Capital?

Enrique Lopez (CRD #2209385) who is currently registered with Arkadios Capital and located in McAllen, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arkadios Capital, Enrique Lopez was associated with LPL Financial LLC and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

LPL Financial, LLC Broker Misconduct

In his career, Enrique Lopez has been the subject of 4 customer complaints that we know about, 1 of those complaints were filed in the last year to recover investment losses. All 4 of those customer complaints arose in connection with his employment at LPL Financial, LLC. 1 of those cases went to arbitration and award was entered in favor of the investor in the amount of $1,554,839.70. One of his customer complaints was denied by the firm antedate no action has been taken by the customer. There are currently 2 pending customer complaints filed against Enrique Lopez’s former employer LPL Financial, LLC for investment losses caused by his alleged misconduct.

Allegations Against Enrique Lopez

A sample of the allegations made in the FINRA reported arbitration claim award and settlements and pending complaints for investment losses are as follows:

  • Customer alleged that the financial advisor violated the Texas Securities Act and Texas Business and Commerce Codes, breached his duties as a stockbroker, made unsuitable investment recommendations and misrepresentations, and violated FINRA Rules in connection with the recommendation, offer and sale of non-traded REITs in the arbitrators awarded the customer over $1.5 million.
  • Customer alleged recommendations of REITs were unsuitable.
  • Claimant alleged that the financial advisor misrepresented and recommended unsuitable investments in REITs and variable and further, that the investments in the speculative REITs were over-concentrated in its portfolio. 

Enrique Lopez Red Flags & Your Rights As An Investor

Of course, Enrique Lopez did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Enrique Lopez at Arkadios Capital and LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Enrique Lopez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC about Enrique Lopez also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Arkadios Capital And LPL Financial, LLC

If you have questions about Arkadios Capital and LPL Financial, LLC and/or Enrique Lopez and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce has been a trial attorney for more than 40 years and is the founding partner of The Law Offices of Robert Wayne Pearce. You can learn more about Robert and his accomplishments by clicking here.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...