Adam Michael Lopez
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/17/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059935201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Adam Michael Lopez, Respondent Former Investment Company and Variable Contracts Products Representative CRD No.5562750 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Adam Michael Lopez ("Lopez") submits this Letter of Acceptance, Waiver and Consent
Reference 2018059935201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5562750 |
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