UPDATE! Chris Kubiak Is Now BARRED by Wisconsin
Chris Kubiak, formerly with Freedom Investors Corp. and Calton & Associates, Now Barred by Wisconsin
Have you lost money with financial advisor Chris Kubiak of Brookfield, Wisconsin? We are continuing our investigation into allegations made by the Wisconsin Department of Financial Institutions against Chris Raymond Kubiak. Wisconsin alleged that Kubiak stole funds from customers.
Kubiak was previously barred by FINRA, the Financial Industry Regulatory Authority. 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 Wisconsin Order 1
Click to view: Kubiak, Chris FINRA AWC (1)
Click to view: Kubiak, Chris BrokerCheck 10.19.18
If you lost money with Chris Kubiak, Calton & Associates, 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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