Mark Kaplan, Ex-Vanderbilt Securities LLC Broker with Seven Customer Complaints, Barred by FINRA for Alleged Excessive Trading
Adam J. Marquardt
March 12, 2018
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
