Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 15, 2018 indicate that former Illinois-based Country Capital Management Company broker Adam Lopez was recently sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not affiliated with any state or firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lopez (CRD# 5562750).
Adam Lopez has spent 10 years in the securities industry and was most recently registered with Country Capital Management Company in Springfield, Illinois (2008-2018). He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 25, 2008; SIE (Securities Industry Essentials Examination), which he obtained on September 21, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 15, 2008. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two pending customer complaints and one regulatory sanction, and he was discharged from his former employer in connection to alleged rule violations.