Chris Raymond Kubiak (CRD#: 1527367) is a previously registered broker whose last employer was Calton & Associates, Inc. (CRD#:20999) of Brookfield, WI. His previous employers include American Global Wealth Management, Inc. (CRD#:7388) of McDonough, GA, Freedom Investors Corp. (CRD#:23714) of Brookfield, and Dreher & Associates, Inc. (CRD#:8665) of Oakbrook Terrace, IL. He has been in the industry since 1986.
On 9/25/2018, Kubiak was arrested and charged with “felony theft by fraud” (Theft 943.20(1)(b)). The charges are currently pending, and he has not yet entered a plea.
On 10/01/2018, his employer, Calton & Associates, terminated his employment based on his arrest and the charges.
In September of 2018, FINRA began an investigation after receiving a top via its Whistleblower line that Kubiak may have been engaging in fraud. The subsequent FINRA investigation found that between June 2015 and August 2018, Kubiak took a total of $270,000 from four customers, under the guise of investing it. Three of these customers were seniors.
Chris Kubiak allegedly improperly converted those funds, depositing them into his own bank account for his own use, including medical bills and gambling. He worked for two broker dealers during the time period he is alleged to have taken the money: the now-defunct Freedom Investors Corp., and Calton & Associates, who ultimately fired him.
Kubiak signed an Acceptance, Waiver & Consent (AWC) letter, agreeing to the imposed sanction of an indefinite bar, which became effective on 10/18/2018.
The FINRA investigation is separate from the criminal case in Wisconsin. Silver Law Group represents victims of elder financial fraud, elder investment abuse, and stockbroker misconduct.
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