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FINRA Awards for Joseph L. Bernstein

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0069603/30/2016Claimant(s): Sondra Steinberg
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Joseph L. Bernstein, David Rich, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
Checkmark Icon$53,500
13-0016901/06/2014Claimant(s): Julia Pordon, Leo Pordon, Julia M. Pordon on Behalf of Her IRA, Leo Pordon on Behalf of His IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): John M. Eadie, Joseph L. Bernstein, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
12-0079009/25/2013Claimant(s): Amira Kuri, Mariano Gonzalezoracion Industrial Gargonz SA DE CV
Claimant Lawyers(s): Matthew L. Jones
Respondent(s): Atlas One Financial Group
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Joseph L. Bernstein, Nancy J. Cliff, Gerald Silverman
Hearing Site: Miami, FL
Checkmark Icon$73,764
11-0471604/19/2013Claimant(s): Joanne Gould, Michael Gould
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): John Vassalotti
Arbitrator(s): Joseph L. Bernstein, Daniel P. Lund, Harvey Russell Preston
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
11-0475104/12/2013Claimant(s): Robert Schneider
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Kenneth Hobbs, PFS Investments Inc.
Respondent Lawyers(s): Mark F. Raymond, Richard L. Martens
Arbitrator(s): Joseph L. Bernstein, Nancy J. Cliff, Richard S. Herman
Hearing Site: Miami, FL
Checkmark Icon$0
10-0155611/05/2012Claimant(s): Cortell Family Limited Partnership, Denise C. Slomak Trust, Karen Robbins Trust
Claimant Lawyers(s): Matthew W. Woodruff
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawerence Polk
Arbitrator(s): Joseph L. Bernstein, Paul Joseph McIntyre, Peter A. Portley
Hearing Site: Boca Raton, FL
Checkmark Icon$0
10-0043207/19/2011Claimant(s): Roberta Press Living Trust
Claimant Lawyers(s): Russell L Forkey
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Monica I. Salis, Joseph L. Bernstein, Jay Stewart Zeif
Hearing Site: Boca Raton, FL
Checkmark Icon$0
07-0363311/25/2009Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): CRL Management
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Joseph L. Bernstein, Lewis J. Levey, Robert Charles Stamm
Hearing Site: Miami, FL
Checkmark Icon$0
06-0203902/29/2008Claimant(s): David Morrill, Dorothy Jones, Gale Peregrin, Nancy Morrill, William Tierney, Walter Bell and Caroline Bell, Miami Magnet Co. Profit Sharing Plan, The Gale Peregrin Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Legend Equities Corporation
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Joseph L. Bernstein, Marc S. Piven, Louis David Huss
Hearing Site: Boca Raton, FL
Checkmark Icon$142,156

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