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 |
|---|---|---|---|---|---|---|---|---|
| Frank Jerry Fava | 4286445 | 2 | 03/07/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Elias Stuart Rauch | 4169179 | 1 | 03/06/2012 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Timothy Allen Whitmore | 2962726 | 4 | 03/05/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ivory Jerome Johnson | 2032636 | 1 | 02/14/2012 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Philip Michael Scholler | 3230132 | 10 | 02/02/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Edward Gardiner | 3268932 | 1 | 12/21/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory John Mistovich | 823724 | 3 | 10/31/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Richard Mrozek | 2410838 | 1 | 10/26/2011 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Joseph Ray Allen | 2401922 | 2 | 09/06/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Hunter Davidson Brownlie | 2349976 | 2 | 04/01/2011 | Customer Dispute | Closed-No Action | $29,000.00 | $0.00 | See FINRA Report |