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FINRA Awards for Howard Bernstein

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0140104/21/2022Claimant(s): Brian Lombardi
Claimant Lawyers(s): Joshua Bautz
Respondent(s): GunnAllen Financial, Aegis Capital Corp.
Respondent Lawyers(s): Kevin Daniels, Kevin Meade
Arbitrator(s): Marc S. Dobin, Howard Bernstein, Mark A Bilawsky
Hearing Site: Boca Raton, FL
13-0102911/08/2013Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Rebecca Swenson
Respondent(s): Lynn Blankenberger
Respondent Lawyers(s): Lynn Blankenberger
Arbitrator(s): Frances D. Sheehy, Howard Bernstein, Doug Campbell
Hearing Site: Boca Raton, FL
Expungement

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