Last Updated: November 2023 (Los Angeles, CA)
Audrey Kuwabara Investigation Summary
Here’s what you need to know about Los Angeles, CA, stockbroker Audrey Kuwabara:
- Name: Audrey Mari Kuwabara
- Current Employer: Arque Capital Ltd.
- Previous Firms: Empire Securities Corp.
- Function: Stock Broker/ Financial Advisor
- Aliases: Audrey Kuwabara
- Primary Location: Los Angeles, CA
- CRD 5007219
- Can Audrey Kuwabara be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $230,208
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Audrey Kuwabara As Your Stockbroker?
In 5/2023 a customer of Arque Capital was paid $230,208 to settle a FINRA arbitration alleging that and Arque Capital and Audrey Kuwabara violated various state and federal laws when recommending GWG Bonds. GWG filed chapter 7 bankruptcy in April 2022.
How to recover losses on GWG Bonds
Allegations of Broker Misconduct Against Audrey Kuwabara
Customers of Audrey Kuwabara have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to purchase GWG Bonds
- Violations of various state and federal securities laws
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
See this for information on other investigations of Arque Capital brokers
If you have suffered investment losses in an account handled by Audrey Kuwabara, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
