DID ENRIQUE LOPEZ CAUSE YOU INVESTMENT LOSSES?
Enrique Lopez Of Arkadios Capital Has 5 Customer Complaints For Alleged Broker Misconduct
About Enrique Lopez of Arkadios Capital?
Enrique Lopez (CRD #2209385) is a seasoned broker currently employed as a registered broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors in McAllen, Texas since 2018. His professional career in the securities industry began in 1994, and over the years, he has been registered with several notable firms including LPL Financial LLC and Raymond James Financial Services. Lopez has passed two General Industry/Product Exams (Series 7 and SIE) and two Multi-State Securities Law Exams (Series 63 and 66), and he is licensed in one U.S. state or territory. His longstanding tenure in the industry is marked by significant experience and a consistent presence within the same geographic region.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Enrique Lopez Customer Complaints and Reviews
Enrique Lopez has several disclosure events recorded:
- Total Incidents: Lopez has five customer disputes documented in his report.
- Specific Cases:
- Settled Dispute: A customer dispute filed in 2020 was settled in 2021, with allegations regarding unsuitable investment recommendations, particularly non-traded REIT investments. The settlement amount was $75,000.
- Awarded Case: Another significant dispute resulted in an arbitration award where Lopez’s firm was found liable, and they were ordered to pay compensatory and additional damages totaling over $1.5 million. The case involved claims of unsuitable investment recommendations and breaches of fiduciary duties.
- Specific Cases:
Allegations Against Enrique Lopez
The allegations and accusations against Enrique Lopez include:
- Unsuitability: Customers have repeatedly alleged that Lopez recommended investment products that were not aligned with their financial objectives or risk profiles.
- Breach of Fiduciary Duty: Some of the claims against him also involved accusations of breaching fiduciary duties, particularly in cases where there were alleged unsuitable investment recommendations.
- Misrepresentation: Accusations also extend to claims of misrepresenting the nature and risks of the investments recommended.
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 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 Arkadios Capital also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Arkadios Capital Due To Enrique Lopez
If you have questions about Arkadios Capital, Arkadios Wealth Advisors 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.
Rate this Post
Loading...