Tag Archives: Country Capital Management Company

Country Capital Management Sued For Stockbroker Theft

August 27, 2020  |   Posted by :   |   Misappropriation of Funds, Stockbroker Theft   |   Comments Off on Country Capital Management Sued For Stockbroker Theft

Adam Michael Lopez of Springfield Illinois a stockbroker formerly registered with Country Capital Management Company is the subject of a customer initiated investment related written complaint on December 16, 2019 in which the customer requested $2,000,000.00 in damages based upon allegations that the customer’s assets were converted and that the customer had been defrauded as […]

Read More »

FINRA Bars Country Capital Broker In Investigation

January 03, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Adam Michael Lopez of Springfield Illinois a stockbroker formerly registered with Country Capital Management Company has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA in an investigation into accusations of Lopez committing fraud. Letter of Acceptance […]

Read More »

Country Capital Management Stockbroker Barred Falsifying Documents

Daniel P. Glavin, a Stockbrokerwith Country Capital Management Company, was recently barred in all capacities from associating with any Financial Industry Regulatory Authority (FINRA) member after consenting to findings that Glavin had obstructed a FINRA investigation and had converted approximately $45,000 in customer funds. Letter of Acceptance, Waiver, and Consent, No. 2015044416501 (Mar. 31, 2015). […]

Read More »