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FINRA Awards for Michael Kaplan

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0225510/31/2018Claimant(s): Garden State Securities.
Claimant Lawyers(s): Steven D. Trigili
Respondent(s): Michael Kaplan
Respondent Lawyers(s): Michael Kaplan
Arbitrator(s): Michael Fischetti
Hearing Site: Newark, NJ
13-0191305/21/2014Claimant(s): Aegis Capital Corp.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Michael Kaplan
Respondent Lawyers(s): Michael Kaplan
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
13-0242305/09/2014Claimant(s): Joseph Gunnar & Co. LLC
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Michael Kaplan
Respondent Lawyers(s): Michael Kaplan
Arbitrator(s): Susan C. Lushing, Franklin P. Chapman, Thomas Naylor
Hearing Site: New York, NY

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