Goodman & Nekvasil P.A., May Recover Investor Losses | Chuck Laubach – Financial Advisor/Broker Chuck Laubach Investigated by FINRA
Chuck Laubach CRD #1097453 aka Charles Laubach
From 2015 until Chuck Laubach’s firing in 2016, Chuck Laubach was licensed with Chapin Davis Investments. Chuck Laubach was previously licensed with Ameriprise Financial Services, Inc. and Wells Fargo Advisors, LLC. Chuck Laubach is now licensed with Capital Portfolio Management, Inc. According to FINRA’s records, Chuck Laubach was fired by Chapin Davis Investments on March 18, 2016. Chapin Davis reported to FINRA that Chuck Laubach was accused of mis-marking transactions tickets and failure to follow written supervisory procedures.
Prior to Chuck Laubach’s firing by Chapin Davis Investments, according to FINRA’s records, Chuck Laubach was also fired by Ameriprise Financial Services, Inc. on February 23, 2015. Ameriprise Financial Services, Inc. reported to FINRA that Chuck Laubach was discharged for violation of company policy related to the Firm’s solicitation policy of equity securities and mismarking trade tickets.
Subsequent to Chuck Laubach’s firing by Chapin Davis Investments and Ameriprise Financial Services, Inc., FINRA opened an investigation involving Chuck Laubach’s conduct with Capital Portfolio Management, Inc. FINRA alleges that Chuck Laubach held positions in account longer than 7 days causing suitability issues.
FINRA reports that a complaint was filed involving Chuck Laubach’s conduct with Wells Fargo Advisors, LLC, alleging unauthorized trading. This complaint was settled.
FINRA also reports that a lawsuit was filed involving Chuck Laubach’s conduct with Chapin Davis Investments. The customers allege they were not properly credited with their dividend election from GSV Capital Corp. This lawsuit is currently pending.
If you lost any money on investments with Chuck Laubach, you may be able to recover your losses from Chapin Davis Investments, Ameriprise Financial Services, Inc., Wells Fargo Advisors, LLC and/or Capital Portfolio Management, Inc. This is because Chapin Davis Investments, Ameriprise Financial Services, Inc., Wells Fargo Advisors, LLC and Capital Portfolio Management, Inc. had a duty to supervise Chuck Laubach.
If you lost money on investments with Chuck Laubach and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Chapin Davis Investments, Ameriprise Financial Services, Inc., Wells Fargo Advisors, LLC and/or Capital Portfolio Management, Inc. concerning Chuck Laubach’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Goodman & Nekvasil, P.A. has recovered approximately $170 million on behalf of victimized investors. If you lost money on investments with Chuck Laubach and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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