Tag Archives: Mark Kaplan

Investors Sue Vanderbilt Securities For Unsuitable Recommendations

Mark Kaplan of Woodbury New York a stockbroker formerly registered with Vanderbilt Securities LLC is referenced in a customer initiated investment related arbitration claim which was settled for $55,000.00 in damages based upon accusations that the customer’s common and preferred stock and over-the-counter equities holdings were inappropriate for the customer and had poorly performed. Financial […]

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FINRA Fines Vanderbilt Securities For Failure To Supervise

Vanderbilt Securities LLC a brokerage firm headquartered in New York New York and its chief compliance officer Barry Champney have been sanctioned by Financial Industry Regulatory Authority (FINRA) founded on accusations that the firm and Champney failed to adequately supervise a registered representative who churned and effected unsuitable trades in a customer’s account. Letter of […]

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FINRA Bars Vanderbilt Securities Broker For Churning

March 16, 2018  |   Posted by :   |   Excessive Trading, Investment and Regulatory News   |   0 Comments

Mark Kaplan of Woodbury New York is a stockbroker formerly employed by Vanderbilt Securities, LLC who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by consenting to findings that he churned and excessively traded customers’ investment portfolios. Letter of Acceptance Waiver and Consent No. 2015045984001 (Mar. […]

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Vanderbilt Securities Stockbroker Named In Customer Arbitration Claim

Mark Kaplan, of Woodbury, New York, a stockbroker with Vanderbilt Securities, LLC, was named in a customer initiated investment related arbitration claim on February 15, 2016, in which the customer has requested $1,130,000.00 in damages per allegations against Kaplan of effecting unsuitable investment transactions for the customer. FINRA Public Disclosure reveals that Kaplan has been […]

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