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FINRA Awards for Jon D. Kaplan

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0083509/13/2019Claimant(s): Austin Frye
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplan
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
18-0065812/12/2018Claimant(s): William Walters
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplan
Arbitrator(s): Diane Ciccone
Hearing Site: Wilmington, DE

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