Search for: "Vanderbilt Financial, LLC"
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25 Oct 2019, 6:31 am
Morris, Barr Law Group, on Sunday, October 20, 2019 Tags: Accountability, Institutional Investors, Investment advisers, JPMorgan, Liability standards, Misconduct, Mutual funds, Risk, Securities litigation Filing Thresholds and Main Street Investors Posted by Christine Jantz, Jantz Management LLC, on Monday, October 21, 2019 Tags: Boards of Directors, Engagement, Ownership, Retail investors, Rule… [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]
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]
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]
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]
9 Feb 2018, 5:06 am
Edelman (Vanderbilt University), Wei Jiang (Columbia University), and Randall S. [read post]
2 Feb 2018, 6:10 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, February 2, 2018 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of January 26–February 1, 2018. [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]
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]
26 Mar 2017, 10:33 am
Sky High Sports Nashville Operations, LLC, No. [read post]
19 Aug 2015, 9:56 am
Since March 2011, Kaplan has been associated with Vanderbilt Securities, LLC. [read post]
22 Apr 2015, 10:00 am
Rasco said the verdict gives him more authority to dig into financial records to determine who was responsible for the bar. [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]
21 Nov 2011, 1:50 pm
Couvillion, Note, Defending for its life: ChampionsWorld LLC v. [read post]
3 Nov 2011, 9:12 am
” by Professor Brian Fitzpatrick of Vanderbilt Law School. [read post]
14 Jul 2009, 6:37 am
The diversity, pervasiveness, and materiality of the alleged financial wrongdoing at AIG is extraordinary. [read post]
20 Dec 2008, 3:00 am
(Financial Aspects of Intellectual Property) IP finance seminar on patent and copyright term: ‘IP Term: What it Means in Finance Terms’ presentation (IP finance) The difference between invention and innovation in the netbook space (Techdirt) WIPO launches strategic change program (WIPO) (Intellectual Property Watch) (IP Kenya) Draft programme of WIPO funder meeting for development (Intellectual Property Watch) Confidential document from WIPO details strategy on IP,… [read post]
