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Jason Caplan is the Subject of an Investor Dispute

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
August 4, 2025 at 7:02pm

Jason Caplan (CRD #: 5873479), a broker registered with TIAA-Cref Individual Institutional Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 4, 2025. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On April 4, 2025, an investor alleged that Jason Caplan did not make requested changes to an employer-sponsored retirement plan. The dispute was denied, but investors should know that firms can deny a dispute without any external review. Investors can still recover following a denial. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to follow an investor’s instructions may violate this rule. 

Background Information 

Jason Caplan has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 23 states, D.C., and Tennessee. 

During his 13 years of experience, Jason Caplan has registered with two firms: TIAA-Cref Individual & Institutional Services (CRD #: 20472), also known as Advice and Planning Services, and Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691). 

Kurta Law Can Help

If you worked with Jason Caplan and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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