Close Menu
Free Consultation: 888-976-6111

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.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Cornerstone Advisors Anthony Napolitano & Jammie Avila Face Complaint

    A recent investor complaint against Henderson, Nevada financial advisors Anthony Napolitano (CRD# 4921500) and Jammie Avila (CRD# 3100097) alleges that...

    Read More
  • Merriam Rink: GWG L Bond Complaint Against Ausdal Advisor

    A recent investor complaint against Bettendorf, Iowa financial advisor Merriam Rink (CRD# 1380705) alleges that she engaged in various forms...

    Read More
  • Mike Mirich: $50K-$100K Complaint Against Income Pros Advisor

    Escondido, California financial advisor Mike Mirich (CRD# 1979328) is involved in an investor complaint alleging his investment advice resulted in...

    Read More
  • Charles Shields Jr.: Why Did FINRA Investigate Wells Fargo Advisor?

    A recent investigation against Wayne, Pennsylvania financial advisor Charles Shields Jr. (CRD# 2067177) concerned allegations that he engaged in unauthorized...

    Read More
  • Previous
  • Next