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FINRA Awards for David C. Berman

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0079612/21/2009Claimant(s): Estate of Peter W. Roslund
Claimant Lawyers(s): David C. Berman
Respondent(s): J.P. Morgan Securities, Stephen Gabriel
Respondent Lawyers(s): Eugene L. Small, Ronald P. Kane
Arbitrator(s): Leonard E. Benade, W. Wells Van Pelt, John R. Morris
Hearing Site: Charlotte, NC
Checkmark IconStipulated Award and Expungement

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