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 |
|---|---|---|---|---|---|---|---|---|
| Tammy Rose Taylor | 6337854 | 3 | 11/14/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Joseph Greene | 2690059 | 1 | 10/24/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Harry Applebaum | 1628443 | 10 | 07/30/2018 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Lori Ann Bochert | 6641574 | 1 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Martin-Noboru Ward | 5587522 | 1 | 07/06/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Steven Litras | 1908454 | 2 | 07/02/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gale Ann Brodie | 1318619 | 2 | 04/27/2018 | Customer Dispute | Denied | $57,000.00 | $0.00 | See FINRA Report |
| William Paul Fauzio | 2193834 | 8 | 09/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Jay Kaufman | 2386637 | 4 | 06/06/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Steinmetz | 5185459 | 1 | 04/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |