Securities Division, 3rd Floor

Arizona Corporation Commission

1300 W. Washington St.

Phoenix, AZ 85007

 

Main: (602) 542-4242

 

Toll-Free Number in Arizona:
1-(866) 837-4399

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in Brief

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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.

Arizona Corporation Commission

1200 W. Washington Street

Phoenix, AZ 85007

 

Corporations Division

1300 W. Washington Street

Phoenix, AZ 85007

 

Tucson Office (Walk-ins only)

400 W. Congress Street

Tucson, AZ 85701