Investors possibly experienced losses because of securities broker Eric Vance Kubiak [CRD: 4637674, Cheektowaga, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Eric Kubiak worked for Ameriprise Financial Services LLC from August 12, 2008, to April 6, 2023. Check out the following information about the disclosures involving this securities broker.
Specifically, on March 28, 2025, an Ameriprise Financial Services LLC client filed FINRA Arbitration No. 25-00625 about Eric Kubiak. Supposedly, Kubiak gave unsuitable advice about illiquid real estate investments, life insurance products, variable annuities, and fixed annuities. As a result, the client requested $6,075,978.00 in compensation from Ameriprise Financial Services LLC or Kubiak. Evidently, this arbitration is pending a resolution.
Also, on December 14, 2023, FINRA issued AWC: 2023078422601 sanctioning Eric Kubiak. Kubiak was permanently barred from associating with any FINRA member in all capacities. Namely, FINRA alleged that Kubiak failed to provide documents and information requested during an investigation into potential involvement with undisclosed outside business activities. Some of those activities potentially involved crypto assets.
According to the findings, Kubiak initially submitted a partial but incomplete response to FINRA’s request for information. His response did not fully comply with the regulator’s inquiry. Eventually, Kubiak refused to produce the outstanding information and documents, citing confidentiality concerns.
Kubiak consented to the sanction through an Acceptance, Waiver Consent (AWC) agreement. The bar was effective as of December 14, 2023, and remains indefinite in duration.
Evidently, Ameriprise Financial Services LLC disaffiliated with Kubiak on March 21, 2023. Allegedly, Kubiak resigned after being suspended on March 9, 2023, while under internal review for possible unauthorized outside business activities.
Did you experience losses because of Eric Kubiak? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer concerning a potential recovery. Soreide Law Group has years of experience recovering losses for investors throughout the country. The law firm also takes cases on a contingency fee basis and advances all costs. Kubiak and the securities firms Kubiak worked for deny allegations of sales practice violations.
Summit Brokerage and Independent Financial Group each appear on a pending customer claim naming Gilbert Conrad (CRD 2746778). Both claims are unproven allegations. His BrokerCheck report also lists settled disputes at Arkadios Capital and Independent Financial Group.
On August 6, 2026, a customer filed a $400,000 FINRA arbitration naming Chad McQuade (CRD 5436281) and Northwestern Mutual. The claim involves outside, third-party real estate investments. It is pending, and McQuade disputes it in a written response.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
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