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Tucson Investment Professional Sanctioned for Dishonest Conduct
Phoenix, Ariz. – The Arizona Corporation Commission ordered Christopher J. Lopez of Tucson to pay $17,260 in restitution and a $1,000 administrative penalty for his dishonest and unethical conduct as an investment professional.
Additionally, the Commission revoked Mr. Lopez’s license as an Arizona investment adviser representative and securities salesman. The Commission found Lopez borrowed money from a client, which is not permitted under the law. Further, Mr. Lopez failed to repay the loan to his client as promised.
All documents relating to this agenda item can be found in the Corporation Commission's online docket at https://edocket.azcc.gov and entering docket number S-21279A-23-0310.