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FINRA Awards for Jeffrey B. Kaplan

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Displaying 11-20 out of 31 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0089611/23/2021Claimant(s): Steven F. Weinstock Trust DTD 10/26/09
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J Borrelli
Arbitrator(s): Philip J. Glick, Michael S. Jordan, Maya Steinitz
Hearing Site: Chicago, IL
Checkmark Icon$450,000
21-0001709/23/2021Claimant(s): Raymond Jallow
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Edith N. Dinneen, Robert B. Hansohn, Loreta Azarian
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12206
19-0072109/17/2021Claimant(s): Nicholas and Brigit Trentalange, Robert and Marcia Shinbrot
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Andrea R. Jacobs, Jason Allen Rosner, Lan Trinh
Hearing Site: Boca Raton, FL
Checkmark Icon$848,120
20-0103508/20/2021Claimant(s): Elizabeth Bennett, Samuel Bennett
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Raymond P. Buschmann, Marcia Bonita Gevers, Alexis Anne Washa
Hearing Site: Chicago, IL
Checkmark Icon$0
19-0270203/31/2021Claimant(s): Lisa Fisher, Matthew Fisher
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Paul Lansing, Lynn Hirschfeld Brahin, Marvin Brown
Hearing Site: Columbus, OH
Checkmark Icon$370,922
19-0153503/12/2021Claimant(s): James W. Johnston, as Trustee of the
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): James W. Geiger, Richard Carl Smukler, Thomas Richard Blake
Hearing Site: Boca Raton, FL
Checkmark Icon$0
19-0295302/26/2021Claimant(s): Madeleine Porcelli
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Mary P. Bass, Robert E. Riccobono, Lawrence Williams
Hearing Site: New York, NY
Checkmark Icon$0
18-0140402/11/2020Claimant(s): Min Zhao, Tianjian Sun
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John D. Stewart
Arbitrator(s):
Hearing Site: New York, NY
Checkmark Icon$75,000
17-0131901/04/2019Claimant(s): Altenhofen Revocable Trust
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Barbara M. Zak, Jeffrey E. Skogsbergh, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
12-0184208/28/2013Claimant(s): International Alliance, C.V.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): James M. Scutti, Jeffrey R. Roth, Lawrence Goldberg
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

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