Eric Vance Kubiak of Cheektowaga, New York, a stockbroker previously registered with Ameriprise Financial Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Kubiak refused to provide information and documents in an investigation concerning his potential outside business activities. Letter of Acceptance, Waiver, and Consent No. 2023078422601 (December 14, 2023).
FINRA’s began to investigate Kubiak after he was permitted to resign from from Ameriprise Financial Services. At the time of his termination, Kubiak’s potential involvement with undisclosed outside business activities was under review.
FINRA, in the process of investigating Kubiak’s potential undisclosed outside business activities, including those related to crypto assets, issued a request for Kubiak to provide certain information and documents under FINRA Rule 8210. Although Kubiak did offer a partial response to this request, it was incomplete and insufficient, failing to meet the requirements set by the regulator.
Ultimately, through his lawyer, Kubiak communicated his refusal to produce the remaining requested information and documents. Therefore, FINRA found that he violated FINRA Rules 2010 and 8210.
Kubiak was registered with Ameriprise Financial Services LLC in Cheektowaga, New York, from August 12, 2008, to April 6, 2023.
