JORDAN LADD KIMMEL is currently employed as a Broker and/or Investment Adviser at VANDERBILT SECURITIES, LLC located at 379 Thornall Street, 14th Floor, Edison, NJ, 08837.
JORDAN LADD KIMMEL has worked at VANDERBILT SECURITIES, LLC since January 02, 2018
Disclosure History
JORDAN LADD KIMMEL has 2 Disclosure Event(s).
Date: May 16, 2005 Category: Customer Dispute Allegations: CUSTOMER ("CLAIMANT") ALLEGES, FIVE YEARS AFTER THE EVENTS IN QUESTION, THAT MR. KIMMEL AND OTHERS ENGAGED IN UNSUITABLE TRADING, AND CHURNING. HIS DAMAGES ARE UNSPECIFIED. MR. KIMMEL VEHEMENTLY DENIES THE ALLEGATIONS AND WILL DEFEND THE ACTION. IT SHOULD BE NOTED THAT THE CLAIMANT WAS AND EXPERIENCED BUSINESSMAN AND THE INVESTMENTS WERE CONSISTENT WITH HIS OBJECTIVES AND HIS FINANCIAL CAPABILITIES, AND THAT THERE WAS NO CHURNING. Damage Amount Requested: $400,000.00 Settlement Amount: $110,000.00 Broker Comment: THE FIRM AND THE ACCOUNT EXECUTIVE DENY THE ALLEGATIONS. THE TRADING IN THE ACCOUNT WAS SUITABLE FOR THE CUSTOMER.
Date: April 29, 2005 Category: Customer Dispute Allegations: CUSTOMER ("CLAIMANT") ALLEGES, FIVE YEARS AFTER THE EVENTS IN QUESTION, THAT MR. KIMMEL AND OTHERS ENGAGED IN UNSUITABLE TRADING, AND CHURNING. HIS DAMAGES ARE UNSPECIFIED. MR. KIMMEL VEHEMENTLY DENIES THE ALLEGATIONS AND WILL DEFEND THE ACTION. IT SHOULD BE NOTED THAT THE CLAIMANT WAS AN EXPERIENCED BUSINESSMAN WHO RAN HIS OWN INSURANCE AGENCY AND THE INVESTMENTS WERE CONSISTENT WITH HIS OBJECTIVES AND HIS FINANCIAL CAPABILITIES, AND THAT THERE WAS NO CHURNING. Damage Amount Requested: $400,000.00 Settlement Amount: $140,000.00 Broker Comment: THE FIRM AND THE ACCOUNT EXECUTIVE DENY THE ALLEGATIONS. THE CUSTOMER WAS SUITABLE FOR THE TRADING IN HIS ACCOUNT.
More Information
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