Archive

Tag Archives: Daniel Evan Kaplan

Merrill Lynch Broker Discharged For Unauthorized Activities

May 31, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News | 0 Comments

Daniel Evan Kaplan of New York New York a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Inc. has been discharged on March 8, 2018 based upon accusations that Kaplan gained unauthorized access to customer investment accounts. This is not the first time that Kaplan has been terminated from a brokerage firm due to […]

Disclaimer

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer. Questions or comments regarding the source or accuracy of information, including any subsequent developments, should be directed to: [email protected].

Archive

Merrill Lynch Broker Discharged For Unauthorized Activities

For a Free Evaluation of Your Claim

All Inquires Are Confidential.

See Important Disclaimer

Categories