LEONARD HOWARD KAPLAN

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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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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