Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cary Urich (Urich), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Urich recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $710,000.00 on June 11, 2024.
Unsuitability, breach of fiduciary duty, negligence and deception.