Vanderbilt Securities

Broker Erik Moreau in Vanderbilt Securities, LLC Firm Has Customer Complaint

July 27, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 16, 2020.

The client states that she had an in-person meeting with the representative on December 18th, 2019 where a request was discussed and finalized to reallocate all assets in her two accounts to 75% money market and 25% equities. The client further states that she left the meeting satisfied with the changes and that there was no indication from the representative that he intended not to proceed per her directions. The client claims that she reviewed her accounts a week prior to the March 16 email and noticed that the changes were never made and wants a meeting with the escalation team to determine a path forward.

Broker Angel Curbelo in Vanderbilt Securities, LLC Firm Has Customer Complaint

July 25, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 24, 2020.

The client alleges unsuitable investment recommendations from February 2020 through March 2020.

Broker Andrew Gentiluomo in Vanderbilt Securities, LLC Firm Has Customer Complaint

June 4, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on March 02, 2026.

Client seeks reimbursement for the loss on an investment in 2023 she alleges was recommended by the FA. She alleges the FA failed to advise her that her investment could not be used for a Required Minimum Distribution from her IRA, causing tax issues, illiquidity of the investment and a loss upon the failure of the business.

There are Recent Customer Complaints with Broker Gar Mccray in Firm Vanderbilt Securities, LLC

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gar Mccray (Mccray), previously associated with Vanderbilt Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccray 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 $1,898,821.00 on February 24, 2021.

Clients allege unsuitable investments and mismanagement of the investments.

Broker Jeffrey Warren in Vanderbilt Securities, LLC Firm Has Customer Complaint

January 7, 2026 | by Staff Attorney

Currently financial advisor Jeffrey Warren (Warren), currently employed by brokerage firm Vanderbilt Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on August 04, 2024.

The claimant alleges that financial advisor made unsuitable recommendations by concentrating nearly $300,000 of retirement assets into illiquid, high-commission private placements and non-traded REITs. These investments were misrepresented as safe, lacked transparency, and were inappropriate for retirees. The advisors also engaged in options trading within IRA accounts, resulting in losses estimated between $100,000 and $500,000.

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.