Tag Archives: Vanderbilt

Vanderbilt Securities Censured & Fined $200,000, Failure to Supervise

Mark Kaplan – Vanderbilt Securities – Alleged Churning and Unsuitable, Excessive Trades According to the Financial Industry Regulatory Authority (FINRA) on July 26, the regulator has censured and fined Vanderbilt Securities (CRD # 5953), $100,000 for failure to supervise a … Continue reading

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Vanderbilt Law Review, Volume 71, Number 4

The Vanderbilt Law Review is pleased to announce the publication of our May 2018 issue: ARTICLES Rafael I. Pardo, Bankrupted Slaves, 71 Vand. L. Rev. 1071 (2018). William Magnuson, Regulating Fintech, 71 Vand. L. Rev. 1167 (2018). Sarah L. Swan, Plaintiff Cities, 71 Vand. L. … Continue reading

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Vanderbilt Settles Potentially $11.5M Talc Mesothelioma Lawsuit During Jury Deliberations

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Mark Kaplan Investigation Update-Arbitration Claim to be Filed vs. Former Vanderbilt Securities Broker

MARK KAPLAN INVESTIGATION UPDATE  3/9/2018 Boca Raton, FL-We are in process of preparing another arbitration claim against Vanderbilt Securities seeking damages for account churning and unsuitable investment recommendations by their former broker Mark Kaplan. Our clients, a family that resides … Continue reading

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