FINRA Announces June 2013 Disciplinary Actions
The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. If you have...
View ArticleMark Kaplan, Vanderbilt Broker, Named in Two Arbitration Claims
March 2016-UPDATE–KAPLAN NAMED IN TWO NEW CUSTOMER ARBITRATIONS SEEKING TOTAL OF 1.5 MILLION See this for details. Earlier Post ==June 24, 2015 Rex Securities Law is investigating broker Mark Kaplan on...
View ArticleMark Kaplan-Vanderbilt Securities Broker-Discloses Two Pending Customer Disputes
APRIL 2017-UPDATE-In FINRA Case 16-0193 a customer of Vanderbilt Securities alleges damages of $1.1 million for unsuitable investments recommended by Mark Kaplan in master limited partnerships and real...
View ArticleFINRA Announces June 2013 Disciplinary Actions
Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary...
View ArticleMark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for...
Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. See this for MARCH 2018 UPDATE–Mark Kaplan barred from securities industry for...
View ArticleMark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for...
Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. MARCH 2018 UPDATE–Mark Kaplan was permanently barred from the securities industry by...
View ArticleMark Kaplan Investigation Update-Arbitration Claim to be Filed vs. Former...
Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. MARK KAPLAN INVESTIGATION UPDATE 3/9/2018 Boca Raton, FL-We are in process of...
View ArticleMark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled...
Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. MARCH 2018– Pompano Beach, FL We recently filed an arbitration complaint against...
View ArticleMark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for...
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. See this for MARCH 2018 UPDATE–Mark Kaplan barred from securities industry for churning account of 93 year customer....
View ArticleMark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for...
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. MARCH 2018 UPDATE–Mark Kaplan was permanently barred from the securities industry by FINRA and , without admitting or...
View ArticleMark Kaplan Investigation Update-Arbitration Claim to be Filed vs. Former...
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. MARK KAPLAN INVESTIGATION UPDATE 3/9/2018 Boca Raton, FL-We are in process of preparing another arbitration claim...
View ArticleMark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled...
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. MARCH 2018– Pompano Beach, FL We recently filed an arbitration complaint against Vanderbilt Securities, the former...
View ArticleJohn “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely...
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. John “JC” Carroll Investigation June 2023-Juno Beach, FL According to publicly available records John Carroll IV a...
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