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FINRA Awards for Rochelle K. Kaplan

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0263708/04/2016Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas McDevitt
Respondent Lawyers(s): Thomas McDevitt
Arbitrator(s): Steven T. Stern, Alan M. Schankel, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
15-0044006/21/2016Claimant(s): James McDevitt
Claimant Lawyers(s): James B. McDevitt
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary J. Lieberman
Arbitrator(s): Rochelle K. Kaplan, Timothy Mark Jayne, John B. Taulane
Hearing Site: Philadelphia, PA

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