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 |
|---|---|---|---|---|---|---|---|---|
| Robert Raymond Brower | 5400590 | 2 | 08/02/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael David Ward | 1425173 | 6 | 07/31/2003 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| William Louis Fisher | 2016724 | 1 | 07/30/2003 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Michael Harry Applebaum | 1628443 | 10 | 06/09/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Harry Applebaum | 1628443 | 10 | 06/04/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 06/02/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher James Wolfe | 4217247 | 1 | 05/06/2003 | Customer Dispute | Denied | $5,582.18 | $0.00 | See FINRA Report |
| Carl James Holly | 2192542 | 4 | 02/06/2003 | Customer Dispute | Settled | $584,024.00 | $0.00 | See FINRA Report |
| Joseph William Fleischman | 1542152 | 1 | 02/06/2003 | Customer Dispute | Settled | $584,024.00 | $0.00 | See FINRA Report |
| Brian Dennis Cleary | 48345 | 3 | 01/13/2003 | Customer Dispute | Award / Judgment | $660,000.00 | $83,420.90 | See FINRA Report |