Robert P. Allen of Augusta Georgia a stockbroker formerly registered with Country Capital Management Company has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in unapproved outside business activities. Letter of Acceptance Waiver and Consent No….
Adam Michael Lopez of Springfield Illinois a stockbroker formerly registered with Country Capital Management Company is referenced in a customer initiated investment related written complaint which was resolved for $359,846.25 on June 11, 2019 founded on accusations that Lopez embezzled nearly all of the customer’s assets during the period in which he was employed by…
Vicki Smith, a Stockbrokerwith Country Capital Management Corp, was permanently barred in all capacities with any Financial Industry Regulatory Authority (FINRA) firm after consenting to findings that she engaged in undisclosed outside business activities and converted funds from a customer. Letter of Acceptance, Waiver, and Consent, No. 2013037426001 (June 5, 2015). Smith is barred from…