Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 1, 2017 indicate that Maryland-based Morgan Stanley broker/adviser Neil Kaplan has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kaplan (CRD# 1615516).
Neil Kaplan has spent 30 years in the securities industry and has been registered with Morgan Stanley in Potomac and Bethesda, Maryland since 2009. Previous registrations include Citigroup Global Markets in Lafayette, New Jersey (1993-2009) and Lehman Brothers in New York, New York (1987-2003). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 3 (National Commodity Futures Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 28 US states and territories.
According to his BrokerCheck report, he has received two pending customer complaints.
In 2016 a customer alleged Neil Kaplan, while employed at Morgan Stanley Smith Barney, executed excessive trades “for the purpose of collecting fees.” The customer is seeking $435,000 in damages in the pending complaint.
In 2016 a party of customers alleged Neil Kaplan, while employed at Morgan Stanley Smith Barney, executed excessive transactions “for the purpose of collecting fees.” The customers are seeking $240,000 in damages in the pending complaint.
If you or someone you know has lost money investing with Neil Kaplan, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.