FINRA Awards for Rochelle K. Kaplan

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-02742	09/20/2018	Claimant(s): Judy J. Smith, IRA, Michael D. Smith, Michael D. Smith and Judy J. Smith JTWRO Claimant Lawyers(s): Scott L. Silver Respondent(s): Newport Coast Securities. Respondent Lawyers(s): Dan Druz Arbitrator(s): Rochelle K. Kaplan Hearing Site: Philadelphia, PA		$816,000
16-01293	01/19/2018	Claimant(s): Ana DeFelice, Angelo Benedetto, Barbara Lake, Eugene Mahon, Gail Eichelberger, Gloria Kittner, Grace Warner, Harold Warner, Herbert Kittner, James Lake, Jane Hocking, John Eichelberger, John Hocking, Kenneth DeFelice, Marjann Mahon, Edward and Helen Kobal, Thomas and Arlene Richardson Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Anthony Diaz Respondent Lawyers(s): Anthony Diaz Arbitrator(s): Rochelle K. Kaplan Hearing Site: Philadelphia, PA		$4,339,300
13-02531	06/02/2014	Claimant(s): Stuart Cahn Claimant Lawyers(s): Marc Cahn Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Frank J. Cuccio Arbitrator(s): Rochelle K. Kaplan Hearing Site: Philadelphia, PA		Expungement
13-00722	05/30/2014	Claimant(s): James Salvano, Rene Salvano Claimant Lawyers(s): Benjamin Lapin Respondent(s): Morgan Stanley Smith Barney LLC Respondent Lawyers(s): Chan H. Nam Arbitrator(s): Rochelle K. Kaplan Hearing Site: Philadelphia, PA		Expungement