Elvin J. Lopez, of New York, New York, a stockbroker formerly registered with Brookstone Securities, Inc., has been named in a customer initiated investment related arbitration claim, which settled on April 12, 2017, for $31,276.98 in damages based upon allegations that he made misrepresentations to the customer, breached his fiduciary and contractual duties, negligently managed the customer’s investment portfolio, effected transactions in the customer’s account that were not suitable nor authorized, and churned the customer’s securities portfolio.
Lopez became registered with Worden Capital Management LLC on November 4, 2016. Since December 17, 1999, Lopez has been associated with nine different broker dealers, eight of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct. #cockroach
Guiliano Law Group
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