Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ian Geeves (Geeves), previously associated with Vanderbilt Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Geeves recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on July 15, 2025.
Customer alleges Advisor and Broker-Dealer/IA breached contract and covenant of good faith/fair dealing, breached fiduciary duty, and committed fraud while handling life insurance proceeds.