Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dukes (Dukes), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dukes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,000.00 on August 02, 2023.
Unsuitability, Breach of fiduciary duty, Negligence and Negligent Misrepresentation, Breach of Contract, Failure to Supervise, and Violation of Reg BI