Vanderbilt Securities

There are Recent Customer Complaints with Broker Polly Stoecklein in Firm Vanderbilt Securities, LLC

November 17, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Hagop Nalbandian in Firm Vanderbilt Securities, LLC

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hagop Nalbandian (Nalbandian), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nalbandian 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 $5,000.00 on August 04, 2025.

Unsuitable recommendation of corporate bonds in 2018.

There are Recent Customer Complaints with Broker Fariba Madison in Firm Vanderbilt Securities, LLC

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fariba Madison (Madison), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madison 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 $500,000.00 on September 26, 2025.

Unsuitable recommendation of corporate bonds between February 2018 and March 2021.

There are Recent Customer Complaints with Broker Andrea Steiner in Firm Vanderbilt Securities, LLC

October 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrea Steiner (Steiner), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Steiner 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 $50,000.00 on December 20, 2022.

Claimants allege unsuitable investment advice on alternative investment product. I was introduced to Claimants through one of my other clients in February 2020 and the recommendation occurred in May 2020.

There are Recent Customer Complaints with Broker Timothy Mcgrath in Firm Vanderbilt Securities, LLC

September 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Mcgrath (Mcgrath), previously associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcgrath recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 10, 2023.

Edward Jones alleges Mr. McGrath violated the 12-month Non-Solicitation Agreement on or about December 2022. Edward Jones further alleges Mr. McGrath has made disparaging remarks about the Firm and its employees to the Firm’s clients.

There are Recent Customer Complaints with Broker Joseph Johnson in Firm Vanderbilt Securities, LLC

September 8, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Johnson (Johnson), currently associated with Vanderbilt Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Johnson concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on May 01, 2023.

Client claims unsuitable and excessive trading in brokerage account for the period of 2011-2022.

There are Recent Customer Complaints with Broker Ian Geeves in Firm Vanderbilt Securities, LLC

August 21, 2025 | by Staff Attorney

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.

Broker Fariba Madison in Vanderbilt Securities, LLC Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fariba Madison (Madison), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madison 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 $358,000.00 on June 09, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

There are Recent Customer Complaints with Broker Krikor Demirjian in Firm Vanderbilt Securities, LLC

July 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Krikor Demirjian (Demirjian), currently associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Demirjian 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 $2,500,000.00 on April 28, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

There are Recent Customer Complaints with Broker Jeffrey Gitterman in Firm Vanderbilt Securities, LLC

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Gitterman (Gitterman), currently associated with Vanderbilt Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gitterman 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 $100,000.00 on September 11, 2023.

Client claims misleading investment advice and failure to conduct reasonable due diligence in regards to the client’s investment in GPB Holdings II