SCOTT ALEXANDER KAPLAN

SCOTT ALEXANDER KAPLAN is currently employed as a Broker and/or Investment Adviser at THE O.N. EQUITY SALES COMPANY located at 10300 Alliance Road, Blue Ash, OH, 45242.

SCOTT ALEXANDER KAPLAN has worked at THE O.N. EQUITY SALES COMPANY since May 07, 2014

Disclosure History

SCOTT ALEXANDER KAPLAN has 3 Disclosure Event(s).

Date: October 08, 1998
Category: Criminal
Charges: FORGERY
Disposition: Pled guilty

Date: August 02, 1995
Category: Criminal
Charges: GRAND THEIFT
Disposition: Deferred Adjudication

Date: January 18, 1995
Category: Criminal
Charges: FORGERY
Disposition: Reduced
Amended Charges: FORGERY
Amended Charge Type: MISDEMEANOR Amended Charge
Amended Charge Disposition: Pled guilty

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

To view the full report for SCOTT ALEXANDER KAPLAN, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.