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FINRA Awards for Alan S. Brodherson

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0053101/25/2019Claimant(s): William Glassman
Claimant Lawyers(s): Timothy C. Lynch
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Laura A. Kaster
Hearing Site: Philadelphia, PA
Checkmark IconExpungement
09-0413012/29/2010Claimant(s): Morgan Stanley Smith Barney
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Clifford Feldstein, Kenneth Sitomer, Ronald Feldstein, Mara Capital Management
Respondent Lawyers(s): Jay Goldberg, Seth Huberman
Arbitrator(s): Ann C. Northern, Marilyn J. Salzman, Randolph Guggenheimer
Hearing Site: New York, NY
Checkmark Icon$0
06-0465509/17/2007Claimant(s): Richard Ford
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Andrew Samalin, Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Daniel B. Berkson, Leah G. Rabinowitz, Ernesto V. Luzzatto
Hearing Site: New York, NY
Checkmark Icon$0

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