Soreide Law Group is reviewing possible investor claims against securities broker Chris Kubiak [CRD#: 1527367, Brookfield, Wisconsin]. Apparently, the Securities and Exchange Commission (“SEC”) barred the securities broker pursuant to Order 3-19345. Notably, Kubiak pled guilty to at least 1 count of wire fraud (violation of 18 U.S.C. Section 1343). For this reason, SEC determined that Kubiak’s actions, which took place between 2013 and 2018, rendered him unfit to be a securities broker. Therefore, SEC prohibited him from having any association with investment advisers and brokerage firms.
Kubiak Barred by Financial Industry Regulatory Authority (FINRA) For Stealing From Elderly Customers
Apparently, FINRA issued a Letter of Acceptance, Waiver and Consent (“AWC”) 2018059861801 on October 18, 2018 barring Chris Kubiak for conversion. FINRA indicated that Kubiak violated FINRA Rule 2010 by misusing client funds. Supposedly, the securities broker stole $270,000 from elderly investor clients. The financial watchdog also mentioned that Kubiak allegedly gambled with his clients’ money. Evidently, FINRA’s bar became effective October 18, 2018.
Calton Disaffiliates With Chris Kubiak Because Of Felony Theft Charges
Evidently, Kubiak worked for Calton and Associates between July 17, 2017 and October 1, 2018. Apparently, on October 1, 2018, Calton and Associates disaffiliated with Kubiak . The securities firm based its decision on prosecutors filing criminal charges against the securities broker. Also, through 2017, Kubiak worked for securities firms American Global Wealth Management, Inc. and Freedom Investors Corp.
Losses From Calton’s Chris Kubiak?
Incurred losses by investing with Chris Kubiak? If you have, contact Soreide Law Group at (888) 760-6552 and speak with experienced counsel about a possible recovery of your investment losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The law firm has recovered millions of dollars for clients who have suffered losses due to misconduct of securities brokers like Kubiak and their employing brokerage firms.