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FINRA recently barred Adam Lopez of Springfield Illinois from the securities brokerage industry after Mr. Lopez refused to cooperate with the self-regulator’s investigation into allegations that Mr. Lopez committed “fraud” and “wrongful taking of property” while he was registered with securities brokerage firm Country Capital Management Company. Mr. Lopez’s conduct has led…
Stockbroker Demos Argyros of St. Louis, Missouri is involved in a legal dispute with a customer who alleges that Mr. Argyros was negligent and breached fiduciary duties while advising the customer over a period of eight years from 2008 to 2016. Mr. Argyros was registered with the firm Oppenheimer &…
Stockbroker Matthew Buchsbaum of UBS Financial Services in New York, New York is involved in legal disputes with at least three customers who allege that he engaged in sales practice violations. One customer who is seeking to recover $1 million in damages alleges “excessive trading and misrepresentation with respect to an…
Financial adviser Lewis Stein of Boca Raton, Florida is involved in a legal dispute with a former customer who alleges that Mr. Stein recommended unsuitable investments. The customer also alleges “breach of fiduciary duty, misrepresentation, [and] negligence.” The customer is seeking $100,000 in damages. The conduct that is the subject…