RICHARD ANTHONY LOPEZ is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 5051 WESTHEIMER 20&21 FLOORS, HOUSTON, TX, 77056.
RICHARD ANTHONY LOPEZ has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
RICHARD ANTHONY LOPEZ has 1 Disclosure Event(s).
Date: February 01, 1993 Category: Customer Dispute Allegations: MISREPRESENTATION, UNAUTHORIZED TRADING,CHURNING, BREACH OF FIDUCIARY DUTY, UNSUITABILITY, VIOLATION OFTHE TEXaS DECEPTIVE TRADE PRACTICES AND CONSUMER PROTECTIONACT; FEDERAL AND STATE SECURITIES STATUTES, COMMON LAW FRAUDAND BREACH OF CONTRACT. CONTACT: MARY REISERT 212 464-7295 Settlement Amount: $35,000.00 Broker Comment: JANUARY 1994SMITH BARNEY SHEARSON SETTLED THIS MATTER FOR$35,000.00. EC CONTRIBUTED 50% OF THE SETTLEMENT AMOUNT.
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