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Guilherme Lopes Terminated by Bank of America Securities

Guilherme Lopes (CRD #: 4765891) was fired by Bank of America Securities. This disclosure appears on his BrokerCheck record, accessed on September 13, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On July 1, 2024, Bank of America Securities fired Guilherme Lopes following allegations involving his handling of confidential information. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Mishandling confidential information may violate this rule. 

Background Information 

Guilherme Lopes has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination

During his 19 years of experience, he has registered with four firms: 

  • BOFA Securities (CRD #: 283942) 
  • Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #: 7691) 
  • Deutsche Bank Securities (CRD #: 2525) 
  • Bear, Stearns & Co. (CRD #: 79) 

Kurta Law Can Help 

If you worked with Guilherme Lopes and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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