Claudine Choquette Involved in Investor Dispute

Claudine Choquette (CRD #: 4895156), a broker registered with UBS Financial Services, was the subject of an investor dispute, according to his BrokerCheck record, accessed on August 10, 2025. Read on if you have questions about his alleged conduct as a broker.

Investor Dispute

On April 10, 2025, an investor alleged that Claudine Choquette claimed that an investment held no risk to his principal and that it would yield 3-3.2% after six months. This dispute was denied by the firm.

However, investors should be aware that firms can deny disputes without allowing an external review. Investors can still pursue FINRA arbitration and potentially recover their losses even if a firm denies their dispute.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence the purchase and sale of securities. Misrepresenting or omitting facts about an investment’s risks, features, or potential returns violates this rule.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Claudine Choquette has passed the following exams:

• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Combined State Law Examination – Series 66

Claudine Choquette is a registered broker in ten states and the District of Columbia. She is also a registered investment adviser in Florida and Texas.

She has also worked for the following firms:

• Credit Suisse Securities (USA) (CRD#:816)
• J.P. Morgan Securities (CRD#:79)
• GunnAllen Financial (CRD#:17609)
• A. G. Edwards & Sons (CRD#:4) 

Kurta Law Can Help

If you worked with Claudine Choquette and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.