Former LPL Financial LLC Broker Howard Kaplan Real Estate Security Losses

LPL Financial LLC

Erez Law is currently investigating former LPL Financial LLC broker Howard Kaplan (CRD# 2021501) regarding real estate security losses. He was registered with LPL Financial LLC in Englewood, New Jersey, from 2010 to 2016. 

Howard Kaplan Customer Complaints

He has been the subject of one customer complaint, according to his CRD report:

March 2024. “Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.” The case is currently pending. The complaint was regarding real estate security losses. 

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, LPL Financial LLC may be liable for investment or other losses suffered by Howard Kaplan’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.