Were you the victim of direct investment losses with Westpark Capital, Inc. broker Christopher Dukes (CRD# 4712873)? He has been registered with Westpark Capital, Inc. in Westlake Village, California, since 2017. He was registered with Delta Investment Management, LLC in Thousand Oaks, California, from 2018 to 2019, VFG Advisors, Inc. in Canoga Park, California, from 2010 to 2018, VFG Securities, Inc. in Thousand Oaks, California, from 2010 to 2017, and Niagara International Capital Limited in Thousand Oaks, California, from April to June 2017.
Christopher Dukes Customer Complaints
He has been the subject of five customer complaints between 2008 and 2026, one of which was denied, according to his CRD report:
February 2026. “Claimants allege that the October 17, 2024 purchase of a Delaware Statutory Trust (DST) real estate investment in connection with a 1031 exchange was unsuitable for their investment objectives and risk tolerance, and that the investment was misrepresented as conservative and low risk. Claimants further allege inadequate due diligence on the investment and its sponsor, material misrepresentations and omissions, failure to disclose risks, breach of fiduciary duty, negligence, and failure to supervise.” The customer is seeking $366,000 in damages, and the case is currently pending. The complaint was regarding direct investment losses, and it took place while he was registered with Westpark Capital, Inc.
August 2023. “Unsuitability, Breach of fiduciary duty, Negligence and Negligent Misrepresentation, Breach of Contract, Failure to Supervise, and Violation of Reg BI.” The customer sought $25,000 in damages, and the case was settled for $8,500.
March 2023. “Claimant alleged that Chris recommends an unsuitable investment given Claimant’s investment experience and age. The causes of action are Breach of Fiduciary Duty, Negligence and Negligent Misrepresentation, Breach of Contract, Failure to supervise and Violation of Regulation Best Interest.” The customer sought $50,000 in damages, and the case was settled for $14,999.
October 2022. “Dukes, recommended that the clients invest in a high-risk, high-commission, unsuitable and illiquid alternative investment, namely GWG Holdings, Inc., L Bonds and/or preferred stock (hereinafter collectively referred to as “GWG”).” The customer sought $100,000 in damages, and the case was settled for $51,586.41.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Westpark Capital, Inc. may be liable for investment or other losses suffered by Christopher Dukes’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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