Erick George Revelle Kuebler (CRD #2319437) Has Customer Dispute Disclosures on FINRA BrokerCheck

Erick George Revelle Kuebler (CRD #2319437) is a broker with customer dispute disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on February 15, 2026. It reflects three customer dispute disclosures. If you invested with Erick George Revelle Kuebler and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Erick Kuebler’s FINRA BrokerCheck Report reflects three customer dispute disclosures. Two examples are below. One additional dispute appears on BrokerCheck.

On December 9, 2025, a customer filed a pending dispute that alleged issues tied to a private bond offering. FINRA BrokerCheck lists the product type as “Other: Private Investment,” and the customer sought $5,000 in damages. The disclosure states Sanders Morris LLC acted in a limited agent/execution-only capacity and did not recommend or underwrite the transaction. Erick Kuebler’s BrokerCheck disclosure includes a statement that he is named in his capacity as a firm officer and that the firm intends to defend the claim.

On March 9, 2017, a customer alleged unauthorized and unsuitable margin trading beginning in 2011 and said account assets were used for the benefit of a third party. The customer sought $500,000 in damages, and FINRA BrokerCheck lists the product type as Debt–Municipal. The disclosure reflects an award to the customer with $11,396.12 in monetary compensation, with a disposition date of February 28, 2019. Erick Kuebler’s broker statement denies wrongdoing and says the customer used his name because it appeared first on statements. You can review the Award (PDF).

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 (Suitability) requires a reasonable basis for recommendations based on the customer’s investment profile. Complaints about suitability often focus on whether the strategy matched risk tolerance and objectives.

Rule Summary #2: FINRA Rule 3260 (Discretionary Accounts)

FINRA Rule 3260 (Discretionary Accounts) addresses discretionary trading and requires appropriate authorization and oversight. Disputes about unauthorized trading or margin use may raise questions about whether proper permissions and reviews were in place.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on His FINRA BrokerCheck report, Erick Kuebler:

Is currently registered with Sanders Morris LLC.

Has passed the Securities Industry Essentials (SIE) exam. Erick Kuebler has passed Series 7. He has also passed Series 24, Series 65, and Series 63.

Was previously registered with firms that include J.P. Morgan Securities LLC and Edward D. Jones & Co., L.P.

Kurta Law Can Help

If you have worked with Erick Kuebler and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unauthorized Trading | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.