HARLEY LANCE KAPLAN is currently employed as a Broker and/or Investment Adviser at CANTELLA & CO., INC. located at 68 MAPLE STREET, SHERBORN, MA, 01770.
HARLEY LANCE KAPLAN has worked at CANTELLA & CO., INC. since December 12, 2006
Disclosure History
HARLEY LANCE KAPLAN has 2 Disclosure Event(s).
Date: December 13, 2006 Category: Regulatory
Date: October 13, 2006 Category: Employment Separation After Allegations Firm Name: COMPASS SECURITIES CORP., INC. Termination Type: Discharged Allegations: COMPASS SECURITIES ALLEGED THAT REPRESENTATIVE KAPLAN WAS UNDER INTERNAL REVIEW REGARDING OUTSIDE BUSINESS ACTIVITIES WITH YOUTH SPORTS USA, INC. AND HAS BEEN FOUND TO HAVE ENGAGED IN SELLING AWAY ACTIVITES. Broker Comment: KAPLAN MAINTAINS THAT COMPASS SECURITIES WAS INVOLVED WITH YOUTH SPORTS USA, INC. AND WAS AWARE AND APPROVED OF KAPLAN'S TRANSACTIONS.
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