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Churning and Excessive Trading

David L. Barber, Expelled Madison Avenue Securities LLC Broker, Accused of Unauthorized Trades

On March 5, 2018, the Financial Industry Regulatory Authority Inc. (FINRA) barred David Lloyd Barber, a former Madison Avenue Securities LLC stock broker, from associating with firms registered with FINRA.  FINRA is the self-regulator of stock brokers and brokerage firms. FINRA reported David Barber’s bar in its Letter of Acceptance, Waiver and Consent (“AWC”) that

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Mark Kaplan, Ex-Vanderbilt Securities LLC Broker with Seven Customer Complaints, Barred by FINRA for Alleged Excessive Trading

On March 7, 2018, the Financial Industry Regulatory Authority Inc. (FINRA) barred Mark Kaplan, former Vanderbilt Securities LLC stock broker, from associating with firms registered with FINRA.  FINRA registers and regulates stock brokers and brokerage firms. FINRA reported Mark Kaplan’s bar a Letter of Acceptance, Waiver and Consent (“AWC”).  The AWC states Kaplan was barred

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