Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Kaplan (Kaplan), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $4,160.27 on May 12, 2021.
[redacted] placed a formal complaint with the sec that his adviser fees were in the 2.5-3% range with a signed agreement stating fees should be 1%