Vanderbilt Securities Archives

Robert Rex, Esq.
March 11, 2024

Rex Securities Law Investment Fraud Attorney Investigates Diana Palmieri a broker with Vanderbilt Securities

Rex Securities Law Investment Fraud Attorney Investigates Diana Palmieri a broker with Vanderbilt Securities https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 11, 2024 March 18, 2024

Last Updated: March 2024 (Woodbury, NY) Diana Palmieri Investigation Summary Here’s what you need to know about Woodbury, NY, stockbroker Diana Palmieri: Name: Diana C. Palmieri Current Employer: Vanderbilt Securities,…

Robert Rex, Esq.
September 16, 2023

Rex Securities Law Investment Fraud Attorney Investigates Jay D. Schurz formerly with Vanderbilt Securities

Rex Securities Law Investment Fraud Attorney Investigates Jay D. Schurz formerly with Vanderbilt Securities https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 16, 2023 September 16, 2023

Last Updated: September 2023 (Tifton, GA) Jay D. Schurz Investigation Summary Here’s what you need to know about Linton, Indiana, financial advisor Jay D. Schurz: Name: Mr. Jay Dee Schurz…

ER
June 13, 2023

John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL

John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 13, 2023 October 3, 2023

John “JC” Carroll Investigation June 2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by Vanderbilt Securities, discloses a final regulatory matter…

Robert Rex, Esq.
March 23, 2018

Mark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled Arbitration for S. FLA Family-Pompano Beach, FL

Mark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled Arbitration for S. FLA Family-Pompano Beach, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 23, 2018 March 23, 2018

MARCH 2018– Pompano Beach, FL We recently filed an arbitration complaint against Vanderbilt Securities, the former employer of former stockbroker Mark Kaplan on behalf of an elderly couple in their…

Robert Rex, Esq.
March 9, 2018

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

Mark Kaplan Investigation Update-Arbitration Claim to be Filed vs. Former Vanderbilt Securities Broker https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 9, 2018 March 9, 2018

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…

Robert Rex, Esq.
March 8, 2018

Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of Senior

Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of Senior https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 8, 2018 March 8, 2018

MARCH 2018 UPDATE–Mark Kaplan was permanently barred from the securities industry by FINRA and , without admitting or denying them, agreed to entry of the following findings: Kaplan exercised de…

Robert Rex, Esq.
March 27, 2016

Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer

Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 27, 2016 March 27, 2016

See this for MARCH 2018 UPDATE–Mark Kaplan barred from securities industry for churning account of 93 year customer. APRIL 2017-UPDATE-In FINRA Case 16-0193 a customer of Vanderbilt Securities alleges damages…