Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Neil Kaplan (Kaplan), previously associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Kaplan concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $240,000.00 on August 03, 2021.
Claimant alleges, inter alia, excessive trading with respect to investments – Jan 2015 – Dec 2015