Kurt Allen Berry, of Elizabethton, Tennessee, a stockbroker previously registered with Vanderbilt Securities LLC, has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Berry took part in private securities transactions while associated with Regula Financial Group LLC and Vanderbilt Securities LLC….
Joseph Samuel Vanelli III, of Ambler, Pennsylvania, a stockbroker registered with Vanderbilt Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Vanelli failed to comply with a FINRA investigation into his potential outside business activities during the time that he was associated with Vanderbilt Securities….
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…
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…
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….
Eric Steven Korhut, of Johnstown, Pennsylvania, a stockbroker formerly registered with Ameriprise Financial Services, Inc., has been terminated on August 30, 2016, based upon allegations that he exercised discretion in customer accounts without the firm’s approval of the accounts as discretionary. The firm also alleged that Korhut failed to comply with the firm’s supervision policies…
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…