Search for: "Vanderbilt Financial, LLC"
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14 Apr 2023, 8:42 am
Vanderbilt Securities LLC (CRD#: 5953/SEC#: 8-16712), headquartered in Woodbury, New York, is a dual registered national financial advisory firm with $43 Million in revenue in 2021. [read post]
9 May 2022, 11:10 am
Sukhatme, Alexander Billy and Gaurav Bagwe (Georgetown University Law Center, Ankura Consulting, LLC and Bates White, LLC) has posted Felony Financial Disenfranchisement (Vanderbilt Law Review, Forthcoming) on SSRN. [read post]
9 Mar 2018, 12:21 pm
Financial advisor Mark Kaplan (CRD# 1978048), who was most recently affiliated with Vanderbilt Securities, LLC (CRD# 5953, hereinafter “Vanderbilt”), has voluntarily consented to a bar from the securities industry pursuant to a Letter of Acceptance, Waiver & Consent (“AWC”) signed off on by FINRA Enforcement on March 7, 2018. [read post]
29 Apr 2022, 4:30 am
Sukhatme (Georgetown University Law Center; Georgetown McCourt School of Public Policy), Alexander Billy (Ankura Consulting, LLC; Free Our Vote), & Gaurav Bagwe (Bates White, LLC) have posted Felony Financial Disenfranchisement (Vanderbilt Law Review, Forthcoming) on SSRN. [read post]
24 Sep 2021, 2:18 pm
Malecki Law is currently representing clients and investigating allegations against the brokerage and investment advisory firm Henley & Company, LLC and its recently deceased financial adviser, Philip Incorvia. [read post]
24 Aug 2018, 9:08 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Vanderbilt Securities, LLC (Vanderbilt Securities) broker Mark Kaplan (Kaplan) has been subject to eight disclosed customer complaints, one employment termination for cause, and one regulatory action resulting in an industry bar. [read post]
19 Aug 2022, 9:37 am
According to FINRA Disciplinary actions for Aug 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrew Edenbaum Allliance Global Partners National Securities Corporation Keith Esp Vanderbilt Securities, LLC LPL Financial LLC Karl Foust Jr. [read post]
14 Apr 2023, 9:58 am
According to FINRA Disciplinary actions for March 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS John Carroll Vanderbilt Securities, LLC National Securities Corporation Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all… [read post]
5 Mar 2019, 10:03 am
Triad Advisors, LLC Uhlmann Price Securities, LLC United Planners’ Financial Services of America, LP Vanderbilt Securities, LLC Vestech Securities, Inc. [read post]
14 Jan 2022, 8:59 am
Incorvia as he sold fictitious investments in Jefferson Resources and Vanderbilt Realty out of Henley’s Shoreham, New York office. [read post]
21 Apr 2021, 9:37 am
VANDERBILT SECURITIES, LLC WESTPARK CAPITAL, INC UNITED PLANNERS’ FINANCIAL SERVICES OF AMERICA DAVID A. [read post]
12 Mar 2018, 11:44 am
Those resulted in about $723,000 in trading losses and $735,000 in commissions and mark ups for Kaplan and Vanderbilt. [read post]
19 Aug 2015, 9:56 am
Since March 2011, Kaplan has been associated with Vanderbilt Securities, LLC. [read post]
19 Jan 2015, 8:04 am
Pitt is Chief Executive Officer and Managing Director at Kalorama Partners, LLC and former Chairman of the U. [read post]
22 May 2017, 4:57 pm
KKR Financial Holdings LLC (here) and the Delaware Chancery Court’s January 2016 court decision in the In re Trulia Shareholder litigation (here). [read post]
3 Nov 2011, 9:12 am
” by Professor Brian Fitzpatrick of Vanderbilt Law School. [read post]
20 Mar 2020, 6:17 am
Joint Venture Governance Index: Calibrating the Strength of Governance in Joint Ventures Posted by James Bamford, Geoff Walker, and Martin Mogstad, Water Street Partners LLC, on Friday, March 13, 2020 Tags: Board composition, Boards of Directors, Compliance & ethics, Corporate forms, ESG, Joint ventures, Surveys A Case of Mistaken Identity: Correcting the Record on EVA Posted by Subodh Mishra, Institutional Investor Services, Inc.,… [read post]
6 Aug 2021, 6:00 am
Jackson (Harvard Law School) and Morgan Ricks (Vanderbilt Law School), on Thursday, August 5, 2021 Tags: Banks, Bitcoin, Cryptocurrency, Federal Reserve, Financial institutions, Financial regulation, Financial technology, FSOC, Glass-Steagall, Stablecoins 2021 Proxy Season Review Posted by Shirley Westcott, Alliance Advisors, on Thursday, August 5, 2021 Tags: Climate… [read post]
3 Nov 2017, 6:02 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, November 3, 2017 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of October 27–November 2, 2017. [read post]
9 Feb 2018, 5:06 am
Edelman (Vanderbilt University), Wei Jiang (Columbia University), and Randall S. [read post]
