Vanderbilt Securities

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

Read More »

Share Page

Search MarquardtLawOffice.com

Search Posts by Category

Send message to set up free consultation.

Recent Posts

Scroll to Top