Investor Alert

Investor Alert – Mark Kaplan and Vanderbilt Securities

Investor Alert – Mark Kaplan and Vanderbilt Securities

The Financial Industry Regulatory Authority (“FINRA”) has barred Mark Kaplan (CRD#: 1978048) of Woodbury, New York from the securities brokerage industry after an investigation established that Kaplan had churned the brokerage accounts of a senior customer who was experiencing a decline in mental health. The self regulator’s findings state that “Kaplan effected more than 3,500…