July 27, 2023 – Kubiak was named a respondent in a FINRA complaint alleging that he failed to appear for on-the-record testimony requested by FINRA in connection with its investigation into the suitability of his recommendations to his customers, two of which were seniors, to invest in limited partnerships. The complaint alleges that Kubiak’s testimony was material to FINRA’s investigation and was necessary to complete it and his failure to appear for testimony impeded FINRA’s investigation into whether Kubiak made unsuitable recommendations to his customers. (FINRA Case #2018060897302)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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