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FINRA Awards for Harley Kaplan

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0353210/21/2013Claimant(s): Harley Kaplan
Claimant Lawyers(s): Mehmet Baysan
Respondent(s): Compass Securities Corporation
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
09-0578610/13/2011Claimant(s): Harley Kaplan, Beta Industries.
Claimant Lawyers(s): Chesley Oriel
Respondent(s): Timothy Shanahan, Compass Capital Corporation, Compass Securities Corporation
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Joan Stearns Johnsen, William I. Carmen, Zenon Charles Tencza
Hearing Site: Boston, MA

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