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Tag: Mark Kaplan barred

Vanderbilt Securities

Blog, Current Investigations, Securities Fraud Articles

August 1, 2018

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

Mark Kaplan – Vanderbilt Securities – Alleged Churning and Unsuitable, Excessive Trades According to the Financial Industry Regulatory...

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Mark Kaplan

Blog, Current Investigations, Securities Fraud Articles

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 losses According to the Financial Industry Regulatory...

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