Last Updated: October 2023 (Miami, FL)
Veronica Lopez-Lopez Investigation Summary
Here’s what you need to know about Miami, FL, stockbroker Veronica Lopez-Lopez:
- Name: Veronica Lopez-Lopez
- Current Employer: Insigneo Securities, Insigneo Advisory Services (RIA)
- Previous Firms: Morgan Stanley, UBS International
- Function: Stock Broker/ Financial Advisor
- Aliases: Rosa Veronica Lopez-Lopez
- Primary Location: Miami, FL
- CRD 2613870
- Can Veronica Lopez-Lopez be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement : $285,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Veronica Lopez-Lopez As Your Stockbroker?
A customer of Morgan Stanley was paid $285,000 in 7/2016 to settle a FINRA arbitration alleging that Veronica Lopez-Lopez made unsuitable recommendations, including foreign debt and exchange traded funds (ETFs) from 2009-2016.
In 2017 another customer of Morgan Stanley made a complaint that ETFs were unsuitable, and it was ‘denied’ by Morgan Stanley. Apparently the customer did not pursue the matter further.
Allegations of Broker Misconduct Against Veronica Lopez-Lopez
Customers of Veronica Lopez-Lopez have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations to invest in foreign debt and exchange traded funds (ETFs)
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Has Your Brokerage Firm “Denied” Your Claim for Damages Due to Stockbroker Malpractice?
It is quite common, as well as predictable, for brokerage firms to deny a customer’s complaint made directly to the company. Firms know that in many, if not most, instances telling the customer “we don’t think it’s our fault” will be an end to the problem. In other words, it’s generally a waste of your time to sit down with the office manager & the broker.
They seldom, if ever, offer any resolution or if they do, will attempt to have you resolve your case for a fraction of what it is actually worth.
We suggest that if you think there is a problem with the way your account has been handled, or if you have had your claim “denied”, talk to an experienced securities attorney.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Veronica Lopez-Lopez, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.