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FINRA Awards for Brian S. Kaplan

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0068211/18/2020Claimant(s): Eran Grumberg
Claimant Lawyers(s): Laurence Moy
Respondent(s): Lord Abbett Distributor LLC
Respondent Lawyers(s): Brian S. Kaplan
Arbitrator(s): Noah Jonathan Hanft
Hearing Site: New York, NY
08-0402007/10/2009Claimant(s): James Manfredonia
Claimant Lawyers(s): Brian S. Kaplan
Respondent(s): Ernest Dahlman, Simon Rose, Dahlman Rose & Company
Respondent Lawyers(s): Errol F. Margolin
Arbitrator(s): William E. Smith, Abraham Harry Bunis, Walter W. Jensen
Hearing Site: New York, NY

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