Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Polly Stoecklein (Stoecklein), previously associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stoecklein 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 $80,000.00 on May 31, 2022.
CUSTOMER ALLEGES THAT INVESTMENTS MADE IN HIS ADVISORY ACCOUNT WERE UNSUITABLE, AND SEEKS RECOVERY OF LOSSES. ACITIVY PERIOD – 11/2/21 TO 4/14/22.