Chris Dukes: GWG L Bond Complaint Against Dukes Financial Advisor

An investor complaint against Thousand Oaks, California financial advisor Chris Dukes (CRD# 4712873) alleges that he recommended an unsuitable investment in GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with WestPark Capital, doing business as Dukes Financial and Insurance Services.

Mr. Dukes’ BrokerCheck report discloses multiple investor complaints. The most recent, filed in October 2022, alleges that as a representative of WestPark Capital, he recommended a “high-risk, high-commission, unsuitable and illiquid alternative investment” in GWG L bonds. The pending complaint alleges damages of $100,000.

A second investor complaint, filed in 2021, alleges that as a representative of VFG Securities and WestPark Capital, he misrepresented material facts and recommended unsuitable private placement investments. The pending complaint alleges damages of $90,000.

According to the Financial Industry Regulatory Authority, Chris Dukes holds 15 years of securities industry experience. Based in Thousand Oaks, California, he has been a broker with WestPark Capital since 2017, doing business as Dukes Financial and Insurance Services. His registration history includes Delta Investment Management (Thousand Oaks, California; 2018-2019), VFG Securities (Thousand Oaks, California; 2010-2017), Niagara International Capital Limited (Thousand Oaks, California; 2017), and Woodstock Financial Group (Canoga Park, California; 2007-2010). His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Corporate Securities Limited Representative Examination, or Series 62; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is currently licensed in Arizona, Arkansas, California, Florida, Hawaii, Idaho, Indiana, Kansas, Kentucky, Nebraska, Nevada, South Carolina, and Texas. (Information current as of January 22, 2023.)

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