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FINRA Awards for Daniel Kaplan

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0080311/16/2021Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Andrew M. Schmertz, Ann Judith Gellis, Rick Rutman
Hearing Site: New York, NY
17-0199303/19/2019Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Susan C. Lushing, Joseph I. Liebman, Lynnette Rich
Hearing Site: New York, NY

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