Eric Vance Kubiak (CRD #4637674, Buffalo, New York)

December 14, 2023 – An AWC was issued in which Kubiak was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Kubiak consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into his potential involvement with undisclosed OBAs, including those potentially related to crypto assets. The findings stated that initially Kubiak provided a partial but incomplete response to FINRA. Kubiak’s partial response to FINRA did not substantially comply with FINRA’s request, and the information and documents he failed to provide were material to its investigation. Ultimately, Kubiak refused to produce the outstanding information and documents requested. Kubiak was unwilling to produce the outstanding information and documents requested based on an assertion of confidentiality. (FINRA Case #2023078422601)