Soreide Law Group is investigating potential investor claims of bad securities business practices by securities broker Eric Stubbe [CRD #: 1499212, Dorchester, Massachusetts]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 19 clients contested the securities recommendations or sales of the securities broker, who associated with Santander from 2006 to 2016. Notably, clients of Santander suggest that Stubbe executed unreasonable trades and breached a fiduciary duty, negligently recommending or selling overly risky investments. The following contains a summary of some alarming disclosures concerning Stubbe:
Supposedly, a client of Santander contested Eric Stubbe’s actions by placing FINRA Arbitration #: 19-02770 on September 16, 2019. Allegedly, Stubbe made inappropriate trades in the client’s account, failing to consider the client’s risk tolerance or some other aspect of the client’s investment profile. Supposedly, he also caused an overconcentration in the client’s account. The client indicated that the securities broker additionally engaged in deceptive activities which harmed the client. Also, the client suggested that the securities broker breached his fiduciary responsibility, failing to place the customer’s interests first. Allegedly, the securities broker imprudently and unreasonably recommended or sold municipal bonds causing the client to sustain losses. Consequently, the client demanded compensation from Santander or Stubbe in the amount of $633,000 in this ongoing matter.
Supposedly, on September 9, 2019, a Santander client filed FINRA Arbitration #: 19-02642 concerning Eric Stubbe. Apparently, the client contended that Stubbe failed to comply with securities laws when makings securities recommendations or sales or municipal bonds. It appears that the securities broker potentially acted negligently, breaching a fiduciary duty through his recommendations or transactions. The client indicated that the securities broker additionally falsified the features, benefits or disadvantages of investments. It appears that the securities broker potentially concealed important facts concerning investments too. Consequently, the client requested $5,000,000 in compensation from Santander or Stubbe. Supposedly, this arbitration is pending a resolution.
Evidently, on September 9, 2019, a Santander client filed FINRA Arbitration #: 19-02655 concerning Eric Stubbe. Notably, the client asserted that Stubbe charged excessive fees or commissions. Also, the client suggested that the securities broker recommended or sold investments without complying with securities laws. Allegedly, the securities broker additionally executed unreasonable trades due to the client's investment profile. Not only that, but the securities broker did not comply with an investment agreement or his fiduciary responsibility and made transactions that the securities firm did not supervise. As a result, the client requested $5,624,000 in compensation from Santander or Stubbe. Evidently, this arbitration is pending a resolution.
Supposedly, a client of Santander contested Eric Stubbe’s actions by filing FINRA Arbitration #: 16-03216 on November 7, 2016. Allegedly, Stubbe made inappropriate trades in the client’s account, failing to consider the client’s risk tolerance or some other aspect of the client’s investment profile. It appears that the securities broker imprudently and unreasonably recommended an overconcentrated position in risky investments. It seems that the municipal bonds and closed end funds which Stubbe recommended had caused the client to sustain losses. Consequently, Santander figured to settle the client’s allegations on May 21, 2019 through compensating the client the sum of $900,000.
Have you experienced losses by investing with Eric Stubbe? If you have, contact Soreide Law Group at (888) 760-6552 and speak with experienced counsel concerning a potential recovery of your investment losses. Soreide Law Group provides representation to clients on a contingency fee basis and advances costs. The law firm has recovered millions of dollars for clients who have experienced losses due to misconduct of securities brokers like Stubbe and brokerage firms.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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