RICHARD WILLIAM KUBIS is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 1135 WARWICK WAY, RACINE, WI, 53406.
RICHARD WILLIAM KUBIS has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since February 22, 2013
Disclosure History
RICHARD WILLIAM KUBIS has 2 Disclosure Event(s).
Date: August 22, 2008 Category: Regulatory Initiated By: WISCONSIN Allegations: DELINQUENT FOR STATE TAXES Resolution: Other SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: WISCONSIN DEPT. OF REVENUE CERTIFIED KUBIS AS DELINQUENT FOR STATE TAXES. STATUTE REQUIRES REVOCATION AFTER 30 DAYS NOTICE. NOTICE ISSUED 7/22/08. KUBIS FAILED TO RESOLVE HIS DELINQUENCY BY THE DUE DATE OF 8/21/08. Broker Comment: THIS IS NOT A DISCIPLINARY EVENT FOR VIOLATIONS OF ANY SECURITIES LAW. AGENT MAY REAPPLY AFTER RESOLUTION OF TAX DELINQUENCY. KUBIS RESOLVED HIS DELINQUENCY A/O 8/28/08.THIS CURRENT STATUS OF THIS DELINQUENCY HAS BEEN SATISIFIED IN FULL AS 08/28/208.
Date: January 21, 2005 Category: Employment Separation After Allegations Firm Name: EDWARD JONES Termination Type: Discharged Allegations: RICHARD KUBIS' EMPLOYMENT WAS TERMINATED FOR SELLING ONE SHORT-TERM HEALTH INSURANCE CONTRACT WITHOUT THE FIRM'S KNOWLEDGE OR APPROVAL.
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