Tag Archives: Charles Louis Laubach

Regulator Bars Capital Portfolio Stockbroker For Unauthorized Trading

February 03, 2020  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Charles Louis Laubach (also known as Chuck Laubach) of Timonium Maryland a stockbroker associated with Capital Portfolio Management Inc. has been barred from working as a stockbroker or investment adviser representative and has been stripped of his licenses supported by allegations that the stockbroker neglected to comply with securities laws of the State of Maryland […]

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Colorado Sanctions Capital Portfolio Stockbroker

June 03, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Charles Louis Laubach (also known as Chuck Laubach) is the subject of a Stipulation and Consent Order issued by the Colorado Division of Securities in which Laubach’s stockbroker licensure has been revoked based on allegations that Laubach engaged in business with customers in the State of Colorado in violation of Colorado’s licensing protocol during the […]

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Chapin Davis Stockbroker Terminated For Misconduct

January 19, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Charles Louis Laubach, of Baltimore, Maryland, a stockbroker formerly registered with Chapin David Investments, has been terminated from employment on March 18, 2016, based upon allegations that he did not follow his firm’s supervisory protocols and mismarked investment transaction tickets. This is not the first time that Laubach has been terminated by a brokerage firm […]

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