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FINRA Awards for David Sherman

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0399310/01/2010Claimant(s): David Sherman, David A.Sherman Liv Tr,
Claimant Lawyers(s): Harvey J. Barnett
Respondent(s): Sanford C. Bernstein & Co., Llc
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Stephen C. Esposito, Herbert S. Channick, David M. Fetter
Hearing Site: Chicago, IL
Checkmark Icon$600
05-0016509/29/2009Claimant(s): David Sherman
Claimant Lawyers(s): David E. Sherman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
Checkmark Icon$0

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