Anthony Lopopolo – Financial Advisor Anthony Lopopolo Permitted to Resign from Ameriprise Financial Services, Inc.

Goodman & Nekvasil P.A., May Recover Investor Losses – Anthony Lopopolo – Financial Advisor Anthony Lopopolo Permitted to Resign from Ameriprise Financial Services, Inc.

Anthony Lopopolo CRD #3054422

From 1998 until Anthony Lopopolo’s resignation in 2014, Anthony Lopopolo was licensed with Ameriprise Financial Services, Inc. Anthony Lopopolo is now licensed with Voya Financial Advisors, Inc. According to FINRA’s records, Anthony Lopopolo was permitted to resign from Ameriprise Financial Services, Inc. on February 28, 2014. Ameriprise Financial Services, Inc. reported to FINRA that Anthony Lopopolo resigned while under suspension for company policy violations related to signature affixation and forgery.

Subsequent to Anthony Lopopolo’s termination by Ameriprise Financial Services, Inc., according to FINRA, the State of Massachusetts ordered Anthony Lopopolo to be subject to a plan of heightened supervision for a period of two years. The State of Massachusetts reported to FINRA the following allegations: At first, Anthony Lopopolo denied affixing a client’s signature to a customer form. Anthony Lopopolo later reversed Anthony Lopopolo’s denial and admitted to signing the form. Anthony Lopopolo also admitted to signing customer documents for clients on 3 to 4 occasions. 

FINRA reports that an arbitration claim was filed involving Anthony Lopopolo’s conduct with Ameriprise Financial Services, Inc. The Claimant alleges she was sold an unsuitable REIT and variable annuity, and was charged excessive fees. She also claims that Anthony Lopopolo failed to properly disclose the risks and fees of the investments and breached his fiduciary duty. This arbitration claim settled for $105,000.

FINRA also reports that Anthony Lopopolo has 2 unsatisfied and outstanding tax liens held against him by the IRS in the amount of $98,622.66 and $42,308.02.

If you lost any money on investments with Anthony Lopopolo, you may be able to recover your losses from Ameriprise Financial Services, Inc. and/or Voya Financial Advisors, Inc. This is because Ameriprise Financial Services, Inc. and Voya Financial Advisors, Inc. had a duty to supervise Anthony Lopopolo.

If you lost money on investments with Anthony Lopopolo, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Ameriprise Financial Services, Inc. and/or Voya Financial Advisors, Inc. concerning Anthony Lopopolo’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on investments with Anthony Lopopolo and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us. 

Keywords: Anthony Lopopolo, Ameriprise Financial Services, Voya Financial, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange

Contact Us Today!

[]
1 Step 1
keyboard_arrow_leftPrevious
Nextkeyboard_arrow_right
FormCraft - WordPress form builder