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August 1, 2018

Vanderbilt Securities Censured & Fined $200,000, Failure to Supervise

Mark Kaplan – Vanderbilt Securities – Alleged Churning and Unsuitable, Excessive

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March 12, 2018

Mark Kaplan Reportedly Barred for Churning 93-year old client’s account

Broker Mark Kaplan allegedly executed 3,500 trades that resulted in $723,000 in

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Vanderbilt Securities
Tag Archive

Vanderbilt Securities Censured & Fined $200,000, Failure to Supervise

Mark Kaplan Reportedly Barred for Churning 93-year old client’s account

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Vanderbilt Securities Tag Archive

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