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FINRA Broker Disclosures for Vanderbilt Securities, LLC

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.

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Displaying 21-30 out of 240 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Peter Gregory Hawkins1211621604/10/2023FinancialPending$0.00$0.00See FINRA Report
Peter Gregory Hawkins1211621603/14/2023FinancialPending$0.00$0.00See FINRA Report
Kevin Michael Murphy2638542202/03/2023Employment Separation After Allegations$0.00$0.00See FINRA Report
Michael Harry Applebaum16284431001/03/2023Judgment / Lien$0.00$0.00See FINRA Report
Andrea Steiner5620516112/20/2022Customer DisputeSettled$50,000.00$0.00See FINRA Report
Peter Christopher Cook1626293109/30/2022Customer DisputeClosed-No Action$1,601,530.00$0.00See FINRA Report
Peter Gregory Hawkins1211621609/15/2022FinancialFinal$0.00$0.00See FINRA Report
Peter Gregory Hawkins1211621608/28/2022FinancialFinal$0.00$0.00See FINRA Report
Kevin Michael Murphy2638542208/19/2022Employment Separation After Allegations$0.00$0.00See FINRA Report
Tammy Rose Taylor6337854307/13/2022Judgment / Lien$0.00$0.00See FINRA Report

240 Results

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