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FINRA Awards for Michael L.B. Kaplan

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0064203/10/2015Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Phillip J. Campisi
Respondent(s): David Netkin
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Marvin Schleyer, Michael L.B. Kaplan, Robert Alan Mayer
Hearing Site: Newark, NJ
12-0078806/11/2013Claimant(s): Robert Meyer
Claimant Lawyers(s): Charles J. Uliano
Respondent(s): Edward Moldaver, Morgan Stanley
Respondent Lawyers(s): David Robbins, Kevin B. Walker
Arbitrator(s): Charles A. Crocco, Michael L.B. Kaplan, Louis P. Wagman
Hearing Site: Newark, NJ
10-0516011/18/2011Claimant(s): Hang Bui
Claimant Lawyers(s): Walter Birkel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Joan M. Traub, Daniel P. Lund, Michael L.B. Kaplan
Hearing Site: Newark, NJ

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