Last Updated: October 2025 — Mission, TX
Here’s what you need to know about Mission, TX stockbroker Enrique “Rick” Lopez:
- Name: Enrique Lopez.
- Alias: Rick Lopez
- Current Employer: Arkadios Capital (Broker) and Arkadios Wealth Advisors (Investment Adviser); Mission, Texas.
- Prior Firms: LPL Financial LLC (2008–2018); Raymond James Financial Services (2003–2008); Merrill Lynch, Pierce, Fenner & Smith (1999–2003); Edward D. Jones (1995–1996); H.D. Vest Investment Securities (1994–1995).
- Other Business Affiliations: Cristobal Eden Partners, LLC (holding company); Lopez Brothers Distribution, LLC (battery distribution/wholesale); Gallop Investment Partners, LLC (real estate “flip” ventures); Cordero Diego, LLC (commercial real estate rentals); Trivium Asset Management Partners, LLC (wealth management).
- CRD number: 2209385.
- Stockbroker / Financial Advisor: Currently registered with one SRO and licensed in one U.S. state; exams passed include SIE (10/01/2018), Series 7 (09/08/1994), Series 66 (06/01/1999), and Series 63 (09/23/1994).
- Can Broker be Sued in FINRA: Yes
- Highest Award or Settlement: $1,554,839
- Current Customer Dispute Seeks Total Damages: Damage amount not yet specified
If you’ve sustained damages from Mr. Lopez, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money with Rick Lopez as Your Stockbroker?
- FINRA Arbitration — LPL Financial LLC (Non-Traded REITs / Variable Annuities)
Case No. 17-00904: alleging breach of contract and warranties, violations of Texas securities statutes and consumer laws, negligent supervision, negligent misrepresentation, unjust enrichment/breach of duties, and unsuitable investment recommendations.
Award, 11/13/2019): The arbitration panel awarded total damages of $1,554,839 - Pending FINRA Arbitration — LPL Financial LLC (REIT)
Filed: August 2025 (FINRA Case No. 25-01729). Allegation: unsuitable recommendation of an income fund/REIT in October 2014. Damage amount not yet specified. - Additional Customer Settlements (LPL Financial LLC)
FINRA Case No. 24-00611 (filed 03/2024): alleged unsuitability in a 2014 real estate security; settled 05/2025 for $10,000
FINRA Case No. 20-00029 (filed 01/2020): alleged unsuitable non-traded REITs; settled 03/2021 for $75,000
FINRA Case No. 19-01608 (filed 06/2019): alleged misrepresentation and unsuitable concentration in speculative REITs and an unsuitable annuity switch; settled 12/2020 for $150,000
Allegations of Broker Misconduct Against Rick Lopez
- Unsuitability — multiple disputes (2013–2025) allege unsuitable recommendations of non-traded REITs and variable annuities.
- Misrepresentation / Omission of Material Facts
- Breach of Contract / Negligent Supervision
- Violation of Texas State Securities Statutes
- Violation of FINRA Rules
If you’ve sustained damages from Mr. Lopez, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
Investigations of other Arkadios Capital Brokers
If you have suffered investment losses in an account handled by Enrique “Rick” Lopez, contact us for a complimentary consultation with an experienced 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.