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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Hyman Morris | 1046760 | 5 | 03/31/2017 | Customer Dispute | Settled | $961,681.00 | $0.00 | See FINRA Report |
| Jennifer Anne Easley | 4688332 | 1 | 10/17/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Marie Martin | 6724777 | 6 | 09/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Patrick Stewart | 3238753 | 1 | 09/27/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Jay Kaufman | 2386637 | 4 | 09/20/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Jay Kaufman | 2386637 | 4 | 09/20/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tammy Rose Taylor | 6337854 | 3 | 08/03/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Jay Kaufman | 2386637 | 4 | 07/29/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory John Mistovich | 823724 | 3 | 07/12/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Michael Scholler | 3230132 | 10 | 05/19/2016 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |