Financial Advisor Chris Kubiak (Carlton & Associates) Customer Complaints

The Wolper Law Firm, P.A. is currently investigating claims against Chris Kubiak, a former Financial Advisor at Carlton & Associates in Brookfield, MI and American Global Wealth Management in McDonough, GA. Chris Kubiak has been in the securities industry since the 1980s and previously worked at Freedom Investors Partners.

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2018, Carlton & Associates discharged Chris Kubiak after he was arrested and charged with felony theft by fraud. Shortly thereafter, FINRA sanctioned Chris Kubiak, barring him from the securities industry. The FINRA sanction states:

“Without admitting or denying the findings, Kubiak consented to the sanction and to the entry of findings that he converted customer funds. The findings stated that four customers, including three seniors, gave funds to Kubiak totaling approximately $270,000 to invest on their behalf. Kubiak, however, deposited the funds into his personal bank account and then used them for his own personal use, including to gamble and to pay for personal medical bills.”

For a full copy of the FINRA sanction, click https://www.finra.org/sites/default/files/fda_documents/2018059861801%20Chris%20R%20Kubiak%20CRD%201527367%20AWC%20sl.pdf

If you or someone you know was a customer Chris Kubiak and you experienced investment losses, please contact the Wolper Law Firm, P.A. at 800.931.8452 or by email at mwolper@wolperlawfirm.com to discuss your specific situation and the legal options available. The Wolper Law Firm, P.A. represents investors nationwide in securities litigation and arbitration.

Matt Wolper, the Managing Principal of the Wolper Law Firm, P.A., is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.

Attorney Matthew Wolper

Attorney Matthew WolperMatt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks. [Attorney Bio]