LEONARD HOWARD KAPLAN is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 1 PPG PLACE, SUITE 1300, PITTSBURGH, PA, 15222.
LEONARD HOWARD KAPLAN has worked at MORGAN STANLEY since June 01, 2009
Disclosure History
LEONARD HOWARD KAPLAN has 2 Disclosure Event(s).
Date: April 01, 2008 Category: Customer Dispute Allegations: THE COMPLAINT AROSE OUT OF THE SALE OF AN AUCTION RATE SECURITY (ARS) THAT WAS MADE PRIOR TO THE WIDESPREAD ILLIQUIDITY IN THE ARS MARKET THAT OCCURRED IN FEBRUARY 2008 Settlement Amount: $25,000.00
Date: December 12, 2003 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT HER ACCOUNTS WERE CHARGED EXCESSIVE COMMISSIONS RESULTING FROM THE BROKER'S UNAUTHORIZED AND ILLEGAL TARDES IN HER ACCOUNTS. DAMAGES UNSPECIFIED.
More Information
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