Our Staff has compiled our research into a database of FINRA Broker Disclosures for Vanderbilt Securities, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| John Francis Carroll | 1148905 | 1 | 01/06/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea Steiner | 5620516 | 1 | 12/20/2022 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Peter Christopher Cook | 1626293 | 1 | 09/30/2022 | Customer Dispute | Pending | $1,601,530.00 | $0.00 | See FINRA Report |
| Polly Marie Stoecklein | 1041896 | 2 | 05/31/2022 | Customer Dispute | Pending | $80,000.00 | $0.00 | See FINRA Report |
| Timothy William McGrath | 5467374 | 2 | 04/22/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Paul Burns | 2847213 | 2 | 02/28/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Walter L McKinney | 3268305 | 2 | 01/24/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mayer Matthew Flaks | 1967648 | 2 | 12/28/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lewis Gitterman | 1910332 | 7 | 12/28/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Jeffrey Lewis Gitterman | 1910332 | 7 | 12/10/2021 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |