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WARNING! Impending Investigation – CHRIS KUBIAK of Brookfield, WI

19
Oct

WARNING! Impending Investigation – CHRIS KUBIAK of Brookfield, WI

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WARNING!  Impending Investigation – CHRIS KUBIAK of Brookfield, WI

Chris Kubiak, formerly with Freedom Investors Corp. and Calton & Associates, Barred by FINRA

 

Have you lost money with financial advisor Chris Kubiak of Brookfield, Wisconsin?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Chris Kubiak.  FINRA barred Kubiak from the securities industry regarding allegations that he stole or converted $270,000 from four customers between June 2015 and August 2018.

 

Chris Kubiak was a financial advisor and registered representative of Freedom Investors Corp. from 1989 to July 2017.  He was also affiliated with Calton & Associates from July 2017 to October 2018.  He worked at a branch office Brookfield, Wisconsin.  Kubiak has also been charged criminally for this alleged conduct.

 

Brokerage firms like Freedom Investors Corp. have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Wisconsin; Ann Arbor, Michigan; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Wisconsin.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Freedom Investors Corp. and Calton & Associates.

 

Click to view:  Kubiak, Chris FINRA AWC

Click to view:  Kubiak, Chris BrokerCheck 10.19.18

 

If you lost money with Chris Kubiak or Freedom Investors Corp., please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.

 

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