Articles Tagged with Santander Securities

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Eric StubbePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 12, 2018 indicate that former Massachusetts-based Santander Securities broker/adviser Eric Stubbe, also known as Eric Stubbe Arsuaga, has received numerous resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stubbe (CRD# 1499212).

Eric Stubbe has spent 29 years in the securities industry and was most recently registered with Santander Securities in Dorchester, Massachusetts (2006-2016). Previous registrations include UBS Financial Services in San Juan, Puerto Rico (1991-2006); UBS Financial Services in San Juan, Puerto Rico (1987-2006); and Kidder Peabody & Company (1986-1987). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 13, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 3, 1987; and Series 7 (General Securities Representative Examination), which he obtained on May 17, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received four customer complaints and six pending customer complaints

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David RischPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that former Rhode Island-based Santander Securities broker/adviser David Risch was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Risch (CRD# 4565820).

David Risch has spent 13 years in the securities industry and was most recently registered with Santander Securities in Middletown, Rhode Island (2015-2017). Previous registrations include Park Avenue Securities in Rockland, Massachusetts (2012-2015); Edward Jones in Marion, Massachusetts (2009-2012); Merrill Lynch in Hyannis, Maryland (2007-2008); MetLife Securities in Providence, Rhode Island (2005-2007); Metropolitan Life Insurance Company in Providence, Rhode Island (2005-2007); and Capital Brokerage Corporation in Richmond, Virginia (2002-2004). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 1, 2005; Series 7 (General Securities Representative Examination), which he obtained on December 18, 2002; and Series 24 (General Securities Principal Examination), which he obtained on May 9, 2003. He is currently not registered with any state, firm or self-regulatory organization.

According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations and has listed five financial disclosures.

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Willie ValesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 10, 2016 indicate that Pennsylvania-based Santander Securities broker/adviser Willie Vales has received resolved or pending customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Vales (CRD# 2166601).

Willie Vales has spent five years in the securities industry and has been registered with Santander Securities since 2014. Previous registrations include Merrill Lynch in Newtown, Pennsylvania; Wells Fargo Advisors in Philadelphia, Pennsylvania; Morgan Stanley DW in Purchase, New York; and AXA Advisors in New York, New York. He is a registered broker and investment adviser with three US states and territories: New Jersey, Pennsylvania, and Puerto Rico.

According to his BrokerCheck report, Willie Vales has received one customer complaint and one pending customer complaint.