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FINRA Awards for Neuberger Berman LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0334101/06/2020Claimant(s): Frank Eder
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Neuberger Berman Management LLC, Neuberger Berman Fixed Income, Neuberger Berman Group, Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Theodore W. Wrobleski, P J Boylan, Susan L. Walker
Hearing Site: Chicago, IL
16-0134207/06/2018Claimant(s): Jeffry Brown
Claimant Lawyers(s): Joshua D. Rievman
Respondent(s): NB Alternatives Advisers LLC, Neuberger Berman LLC
Respondent Lawyers(s): Robert N. Holtzman
Arbitrator(s): Ted M. Rosen, Robert L. Nisely, James M. Rhodes
Hearing Site: New York, NY
10-0449903/20/2012Claimant(s): Keith Wagner
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Clare R. Goldfarb, Sabrina Raquel Scott, John H. Beach
Hearing Site: Atlanta, GA

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