The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Howard Elliott Kaplan (CRD#2021501 ) regarding allegations made regarding the following:
Claim(s) Made Against Howard Elliott Kaplan:
Claim Date: 3/19/2024
“Customer alleges that an investment made in 2014 was unsuitable for the customer‘s investment objectives and risk tolerance.”
This claim, as of this posting, is currently Pending.
See more information on FINRA’s BrokerCheck site for Howard Elliott Kaplan .
Were you a client of Howard Elliott Kaplan?
The Securities Lawyers at Halling & Cayo S.C. bring claims on behalf of individual(s) and/or groups of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” (See our video, What are the steps of a FINRA Arbitration .) If you were a customer of Howard Elliott Kaplan and suffered investment losses, please contact the Securities Lawyers . We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.
Brokerage firms have the responsibility to oversee all representatives who are registered with their firm, including Howard Elliott Kaplan, and must ensure that they adhere to all securities rules, regulations, and internal policies. If a brokerage firm fails to do so, it may be held responsible for investment losses sustained by customers due to a lack of supervision.If you were a client of Howard Elliott Kaplan, and experienced any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. are interested in discussing the possibility of a claim with you. (A further explanation is here, My Financial Advisor lost my money, what now? .)
Contact The Securities Lawyers
Sean M. Sweeney is a shareholder at Halling and Cayo , a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.
He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.
Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.
