John “JC” Carroll Investigation
June 2023-Juno Beach, FL
According to publicly available records John Carroll IV a former broker who previously was employed by Vanderbilt Securities, discloses a final regulatory matter resulting in an indefinite suspension from the industry.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 1/2023, FINRA case #202307754598 alleged that Carroll failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. Sanctions were an indefinite suspension from FINRA in all capacities and a $120,000 fine be be paid by Carroll individually.
Carroll was registered with the following broker dealers located in Palm Beach County, FL from 1996 until 2/2023:
- Vanderbilt Securities
- National Securities Corp.
- Oppenheimer & Co.
- Stifel, Nicolaus & Co.
- Ryan Beck & Co.
If you have questions about an account handled by John Carroll contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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