Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Lopez (Lopez), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lopez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $66,490.22 on October 23, 2024.
The client alleged that his Variable Universal Life (VUL) Insurance policy was misrepresented to him as he was not aware of the high premiums he would pay, the potential of adverse tax implications of making said premium payments and the sustainability of his accounts to be able to fund the policy.
