ANTHONY JOSEPH LOPEZ

ANTHONY JOSEPH LOPEZ is currently employed as a Broker and/or Investment Adviser at CALTON & ASSOCIATES, INC. located at 17171 PARK ROW DRIVE, SUITE 380, HOUSTON, TX, 77084.

ANTHONY JOSEPH LOPEZ has worked at CALTON & ASSOCIATES, INC. since July 21, 2016

Disclosure History

ANTHONY JOSEPH LOPEZ has 1 Disclosure Event(s).

Date: November 20, 2008
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES MISREPRESENTATION.
Broker Comment: MERRILL LYNCH FOUND [CUSTOMER'S] CLAIM TO BE WITH OUT MERIT.

Errors or Outdated Information?

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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