Chris R. Kubiak (CRD#: 1527367) is a former broker and investment advisor. From July of 2017 to October of 2018, Mr. Kubiak was employed at Calton & Associates in Brookfield, Wisconsin. Prior to that, Mr. Kubiak was associated with American Global Wealth Management in McDonough, Georgia.
On October 1st, this broker was terminated from Calton & Associates after being arrested on theft charges. Soon after, FINRA barred Chris R. Kubiak from the securities industry. This enforcement action came after an extended investigation uncovered evidence that Mr. Kubiak had unlawfully converted funds from his clients over the previous three years.
Allegations of Theft: Broker Chris R. Kubiak
The alleged misconduct in this case occurred between June of 2015 and August of 2018. After receiving a tip on its whistleblower line, FINRA investigators determined that Mr. Kubiak stole at least $270,000 from three different investors. FINRA believes that Mr. Kubiak deposited their money directly into his own personal account. The victims were all elderly investors.
Under FINRA Rule 2150, the improper use of customer funds is strictly prohibited. Without admitting or denying the theft allegations, Chris R. Kubiak consented to a permanent bar from the securities industry. Notably, the criminal charges against this broker are still pending.
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