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FINRA Awards for Neil J. Berman

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0144404/02/2012Claimant(s): Luis Espinosa, Maritza Garcia, Luit Ortiz Espinosa Pension Plan
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Rafael Rodriguez-Abella, BBVA Securities of Puerto Rico.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Mark C. Perry, Thomas Czinner, Neil J. Berman
Hearing Site: San Juan, PR
Checkmark Icon$0
09-0687701/12/2012Claimant(s): Alben Realty Corporation, Babylon Repair Service., Alben Realtor Corporation Retirement PSP
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): FMSBonds.
Respondent Lawyers(s): Sydney A. Marks
Arbitrator(s): Neil J. Berman, Robert G. Falbisaner, Fred Abramoff
Hearing Site: Miami, FL
Checkmark IconStipulated Award
08-0487906/17/2009Claimant(s): Beatrice Dreisen U/A/D 02/09/90
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): David M. Levine, Lawrence S. Silver, Neil J. Berman
Hearing Site: Miami, FL
Checkmark Icon$262,000

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