Tag Archives: Vanderbilt Securities

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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Ameriprise Terminates Broker For Compliance Violations

September 15, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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