Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 7, 2016 indicate that former Texas-based SWBC Investment Services broker Chris Gimblet has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gimblet (CRD# 3197433).
Chris Gimblet has spent five years in the securities industry and was most recently registered with SWBC Investment Services in San Antonio, Texas (2015). Previous registrations include Halen Capital in San Antonio, Texas; Advisors Asset Management in Boerne, Texas; Kercheville & Company in San Antonio, Texas; and USAA Investment Management Company in San Antonio, Texas. He is currently not registered with any state or firm. He has passed three securities industry examinations: Series 7 (General Securities Representative Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 66 (Uniform Combined State Law Examination).
According to his BrokerCheck report, Chris Gimblet has received one FINRA sanction.
In February 2016 FINRA sanctioned Chris Gimblet following allegations he “failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.” He was suspended and issued a fine exceeding $1,700.
In 2013 Chris Gimblet paid $2,700 to satisfy a debt of $6,926.81 with “USAA Credit Card.”
If you or someone you know has complaints regarding Chris Gimblet, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.