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Who is Darren Kubiak? Darren Kubiak Investigation

Darren Kubiak (Darren Michael Kubiak) is the president of Kubiak Financial Services, LLC in Lawrenceville, Georgia. Previously, he was a registered broker from 1984 – 2019 and was last with Kalos Capital in Alpharetta, GA from 2007 to 2019. In September 2019, FINRA alleged that Darren Kubiak recommended Leveraged and Inverse Extange Traded Funds (LIETFs) without having a sufficient understanding of the risks and features associated with the LIETFs. FINRA placed Kubiak on a three-month suspension from associating with any FINRA member firm in all capacities.

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Peiffer Wolf is currently investigating claims against Darren Kubiak of Kalos Capital, Inc and Kubiak Financial Services, LLC.

 

According to our research we have found that Darren Kubiak has been placing investors in high risk investments like REITs, GPB and LIETFs. If you are a client of Darren Kubiak and your investment portfolio consists of REITs, alternative investments, LIETFs, or GPB, Contact Us Today.

 

According to FINRA’s BrokerCheck website for Public Disclosures, Darren Kubiak has been the subject of 5 disclosure, consisting of 4 customer disputes and one regulatory disclosure:

 

  • January 2020: Customer Dispute – Pending.$500,000 in Damages Requested. Allegations: “Unsuitable investments.”
  • September 2019: Regulatory. Initiated by FINRA: “Kubiak consented to the sanctions and to the entry of findings that he recommended the purchase of leveraged and inverse exchange traded funds (LIETFs) to customers without having a sufficient understanding of the risks and features associated with the LIETFs.”
  • July 2019: Customer Dispute – Pending$495,368.50 in Damages Requested. Allegations: “Unsuitable Investment.”
  • July 2019: Customer Dispute – Settled for $152,500. Allegations: “Unsuitable recommendations, Negligence and breach of fiduciary duty, Negligent supervision, Breach of contract.”
  • September 1999: Customer Dispute – Settled for $250,000. Allegations: “Unsuitable recommendations, Negligence and breach of fiduciary duty, Negligent supervision, Breach of contract.”

 

To review Darren Kubiak’s Brokercheck report, click here:

https://brokercheck.finra.org/individual/summary/1239086

*BrokerCheck is run by the Financial Industry Regulatory Authority, Inc. (FINRA)

Were You a Victim of Investment Fraud or Broker Misconduct?

 

If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf  has represented thousands of victims, and we remain committed to fighting on behalf of investors.

 

Contact Peiffer Wolf  today by filling out a Contact Form on our website or by calling 585-310-5140 to schedule a FREE Case Evaluation.

Darren Kubiak Client?

Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

 

Prior to Kalos Capital, Inc., Darren Kubiak had been a registered broker with Questar Capital Corp., Usallianz Securities, Inc., Signator Investors, Inc., Washington Square Securities Inc., Hornor, Townsend & Kent, Inc., and First Investors Corp. FINRA maintains a database of investor complaints and disciplinary and employment history for registered representatives and publishes some of this information on its BrokerCheck website, www.brokercheck.finra.org.

FREE Consultation | 585-310-5140

If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf has represented thousands of victims, and we remain committed to fighting on behalf of investors.

 

Peiffer Wolf is currently investigating Darren Kubiak’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation.  585-310-5140

Get a FREE case Evaluation.

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    Brokercheck®️ report

    Information about this broker was obtained from FINRA’s BrokerCheck on October 6, 2020. You should always review the broker’s BrokerCheck report for updated information. If you believe some of the content on this page does not reflect the report, contact us.

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