FINRA Awards for Joseph L. Bernstein

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-02427	05/14/2015	Claimant(s): Scott Goodkind Claimant Lawyers(s): Craig D Stein Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Joseph L. Bernstein, Bruce K. Isenberg, Gustavus L. Pearthree Hearing Site: Boca Raton, FL
14-01136	02/18/2015	Claimant(s): Daniel Head Claimant Lawyers(s): Craig D. Stein Respondent(s): Reecie Stagnolia Respondent Lawyers(s): August M. Iorio Arbitrator(s): Joseph L. Bernstein, David P. Slater, Lucie L. Sabella Hearing Site: Boca Raton, FL		Expungement
12-03764	08/30/2013	Claimant(s): Robert Sperber Claimant Lawyers(s): Brian Levin Respondent(s): Morgan Stanley Respondent Lawyers(s): William A. Hohauser Arbitrator(s): Joseph L. Bernstein, Bernard A. Becker, Mark T. Burnam Hearing Site: Miami, FL
09-05358	08/25/2010	Claimant(s): Mark Kaufman Claimant Lawyers(s): Alan J. Foxman Respondent(s): Vfinance Investments Respondent Lawyers(s): James K. Barbee Arbitrator(s): Joseph L. Bernstein, Randi Perry Spallina, Connie J. Becker Hearing Site: Boca Raton, FL
06-01760	02/27/2008	Claimant(s): Esdras Vera Claimant Lawyers(s): Marc A. Susswein Respondent(s): Citicorp Financial Services Corp. Respondent Lawyers(s): Gideon Mark Arbitrator(s): Joseph L. Bernstein, Seth L. Finkel, Rex D.K. Seymour Hearing Site: San Juan, PR