Last Updated: Mat 2026 (Thousand Oaks, CA )
Christopher Dukes Investigation Summary
Here’s what you need to know about Thousand Oaks, CA , stockbroker Chris Dukes:
- Name: Mr. Christopher Michael Dukes
- Current Employer: Westpark Capital Inc.
- Previous Firms: Delta Investment Management, VFG Advisors, VFG Securities
- Function: Stock Broker/ Financial Advisor
- Aliases: Chris Dukes, Christopher Dukes
- Primary Location: Thousand Oaks, CA
- CRD 4712873
- Can Chris Dukes be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Has Pending Customer Dispute Involving a Delaware Statutory Trust (DST) – seeks damages of $366,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Christopher Dukes As Your Stockbroker?
Chris Dukes discloses 3 prior customer disputes that were settled by cash payments.
In 2/2026 a customer filed a FINRA arbitration alleging that the purchase of a Delaware Statutory Trust in 10/2024 was unsuitable for the customer’s investment objectives and risk tolerance and that Dukes misrepresented the investment as conservative and low risk. Damages of $866,000 are sought in this pending matter.
What is a Delaware Statutory Trust (DST) ?
Allegations of Broker Misconduct Against Christopher Dukes
Customers of Chris Dukes have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in GWG L-Bonds
- Recommended high risk, high commission, illiquid investments
- Elder abuse
- Breach of fiduciary duty
- Unsuitable Investment Recommendation to invest in a Delaware Statutory Trust (DST)
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
Investigations of other Westpark Capital brokers
If you have suffered investment losses in an account handled by Chris Dukes, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
Firms We Have Pursued For Our Clients
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.