Christopher J. Lopez, of Tucson, has been ordered to pay $17,260 in restitution and a $1,000 administrative penalty by the Arizona Corporation Commission 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.
