BART STEVEN KAPLOW is currently employed as a Broker and/or Investment Adviser at IBN FINANCIAL SERVICES, INC. located at 8035 OSWEGO RD, LIVERPOOL, NY, 13090.
BART STEVEN KAPLOW has worked at IBN FINANCIAL SERVICES, INC. since October 05, 2017
Disclosure History
BART STEVEN KAPLOW has 6 Disclosure Event(s).
Date: January 05, 2005 Category: Regulatory
Date: March 08, 2004 Category: Customer Dispute Allegations: TWO BROKERS AT MR. KAPLOW'S PREVIOUS FIRM SOLD ETS PHONE INVESTMENTS OUTSIDE THEIR SCOPE OF BUSINESS WITH HIS FIRM. Damage Amount Requested: $60,000.00 Settlement Amount: $15,000.00
Date: January 21, 2002 Category: Customer Dispute Allegations: MISREPRESENTATION AND UNSUITABLE INVESTMENTS PURCHASED IN APPROXIMATELY JANUARY 1995. Damage Amount Requested: $750,000.00 Damages Granted: $62,000.00
Date: March 06, 2000 Category: Regulatory
Date: February 16, 1999 Category: Customer Dispute Allegations: DECEASED CLIENT'S ACCOUNTANT NOW ASSERTS THATINVESTMENTS PURCHASED BY THE DECENDENT AND DECENDENTS SPOUSEWERE UNREASONABLE AND CLAIMS DAMAGES OF APPROXIMATELY $7,600. Damage Amount Requested: $7,600.00 Broker Comment: THE DECEASED CLIENT'S ACCOUNTANT (WHOM, TO THE BEST OF MY KNOWLEDGE, HAS NEVER BEEN ENGAGED OR INVOLVED IN ADVISING CLIENTS ON INVESTMENT CLAIMS) NOW CLAIMS THAT CERTAIN PORTIONS OF THE CLIENT'S INVESTMENT PORTFOLIO IS UNREASONABLE.
Date: September 16, 1988 Category: Regulatory
More Information
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