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FINRA Awards for Jon Kaplon

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Displaying 11-14 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0102808/21/2018Claimant(s): Tyler Smith
Claimant Lawyers(s): Robert L. Hartley
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
18-0009807/20/2018Claimant(s): George Meyer
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Susan L. Walker
Hearing Site: St. Louis, MO
17-0100303/30/2018Claimant(s): Kevin Fifield
Claimant Lawyers(s): Stuart Sinai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Barbara Kramer, Jon Kaplon
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
17-0130712/22/2017Claimant(s): Kevin Fifield
Claimant Lawyers(s): Stuart Sinai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Barbara H. Kramer, Jon Kaplon
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI

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