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Kaplan FINRA Review - Briefs Due May to July

The SEC issued an order scheduling briefs in the administrative review proceeding of Adam Scott Kaplan and Daniel Evan Kaplan's application challenging a FINRA action. Support briefs are due May 21, 2026, opposition briefs by June 22, 2026, and reply briefs by July 6, 2026. Failure to file a support brief may result in dismissal.

SEC Denies Stay Request for Adam Scott Kaplan and Daniel Evan Kaplan

The SEC denied a stay request filed by Adam Scott Kaplan and Daniel Evan Kaplan, who were suspended by FINRA for failing to pay an arbitration award. The Commission found the applicants failed to meet the burden for a stay on both substantive and procedural grounds.

SEC Grants FINRA Extension for Kaplan Review

The SEC has granted FINRA an extension to file the certified record in the administrative proceeding concerning Adam Scott Kaplan and Daniel Evan Kaplan. FINRA must now file the record by March 31, 2026. The SEC also requested briefing from FINRA on the applicants' stay request.