JOSE ANTONIO LOPEZ

JOSE ANTONIO LOPEZ is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 850 N CASS AVE STE 102, WESTMONT, IL, 60559.

JOSE ANTONIO LOPEZ has worked at CETERA ADVISOR NETWORKS LLC since October 19, 2009

Disclosure History

JOSE ANTONIO LOPEZ has 4 Disclosure Event(s).

Date: March 15, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $20,392.19
Judgment/Lien Type: Tax
Broker Comment: THIS ITEM IS A CONTINUATION OF AN EXISTING LIEN THAT THE STATE FILED IN 2013. I WAS NOT AWARE OF THIS NEW FILING. I BECAME AWARE OF IT IN 10/2016 WHEN I WAS MADE AWARE OF IT BY COMPLIANCE. I DID NOT HAVE ANY PRIOR KNOWLEDGE. WE HAD FILED ALL OF MY APPROPIATE DISCLOSURES IN 02/2016 THIS ITEM HAD NOT APPEARED YET.

Date: April 30, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $12,959.62
Judgment/Lien Type: Tax
Broker Comment: I JUST LEARNED OF THIS LIEN. I AM GOING TO INVESTIGATE IT WITH THE STATE OF ILLINOIS AND SATISFIY IT IF IT IS VALID.

Date: March 31, 2009
Category: Judgment / Lien
Judgment/Lien Amount: $24,832.28
Judgment/Lien Type: Civil

Date: October 28, 2004
Category: Customer Dispute
Allegations: CLIENT HAD MONEY SITTING IN A MONEY MARKET ACCOUNT.CLIENT WAS NOT PLEASED WITH THE RATE OF RETURN SHE WAS EARNING IN THE MONEY MARKET & EXPRESSED THAT ON VARIOUS OCCASSIONS. REP RECOMMENDED TO HER 2 DIFFERENT DIVIDEND PAYING INVESTMENTS. ONE WAS A PREFERRED SECURITY BY THE ROYAL BANK OF SCOTLAND, WHICH WAS PAYING ROUGHLY 7.5% QUARTERLY DIVIDEND. THE 2ND INVESTMENT WAS STAR GAS PARTNERS PAYING ROUGHLY 10% QUARTERLY DIVIDEND. REP FULLY EXPLAINED THE RISKS AND REWARDS OF EACH INVESTMENT. REP LEFT THE DECISION UP TO THE CLIENT. CLIENT CHOSE STAR GAS PARTNERS. ON 09/30/04, CLIENT PURCHASED 1150 SHARES OF STAR GAS PARTNERS LP SBI @22.05. THE COMPANY CAME OUT WITH VERY DETRIMENTAL AND MATERIAL FACTS THAT THEY WERE WITHOLDING FROM THE MARKET PLACE ON 10/18/04 CAUSING THE VALUE TO RAPIDLY DECLINE. STOCK OPENED AT $18.70 ON 10/18/04 & CLOSED AT $4.32 10/18/04. SUBSEQUENTLY, THE DOLLAR AMOUNT OF THE DISPUTE DEPENDS ON WHAT THE PRICE OF STAR GAS PARTNERS IS. THE AMOUNT RANGES BETWEEN $0.00-$18,000.00. LASTLY, THE S.E.C. HAS OPENED AN INFORMAL INQUERY INTO THE COMAPANY AND THE CEO WAS RECENTLY FORCED TO RESIGN.
Damage Amount Requested: $20,657.00
Settlement Amount: $6,000.00
Broker Comment: ARBITRATION WAS SETTLED FOR $6000.

More Information

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