21-03046 | 02/10/2023 | Claimant(s): Anne Holland-McCowan Claimant Lawyers(s): Aaron Lee Arndt Respondent(s): Andrew Hess, Sanford C. Bernstein & Co. Respondent Lawyers(s): Brian T. Burns Arbitrator(s): Joseph Winter, Kenneth M. Weinman, Adam Michael Porter Hearing Site: Los Angeles, CA
| | Expungement |
16-00205 | 06/22/2018 | Claimant(s): Aviva Rahmani Claimant Lawyers(s): Corban S. Rhodes Respondent(s): David Altman, Sanford C. Bernstein & Co., Leonard Hersh Respondent Lawyers(s): Sean M. Murphy Arbitrator(s): Lynne M. Reid-McQueen, Stephen A. Weiner, Elliot Schnapp Hearing Site: New York, NY
| | Expungement |
10-05687 | 10/19/2012 | Claimant(s): Elizabeth McCarthy, Robert McCarthy, The Emily J. McCarthy Education Trust UA, The John P. McCarthy Education Trust Claimant Lawyers(s): Seth E. Lipner Respondent(s): Sanford C. Bernstein & Co., Alliance Capital Management L.P., AllianceBernstein L.P. Respondent Lawyers(s): Sean Murphy Arbitrator(s): Lowell D. Johnston, Carol Maria Luttati Hearing Site: New York, NY
| | $30,000 |
10-05479 | 04/26/2012 | Claimant(s): Frank Criscola Claimant Lawyers(s): Steven B. Caruso Respondent(s): Sanford C. Bernstein & Co. Respondent Lawyers(s): Sean M. Murphy Arbitrator(s): Daniel Robbins, Herman Taub, Howard Weitz Hearing Site: New York, NY
| | $159,902 |
08-04776 | 11/10/2011 | Claimant(s): Dudley Pepp Claimant Lawyers(s): Michael St. Denis Respondent(s): Bertrand Ginsberg, Russell Grossman, Sandra Morelli, Alliancebernstein Investments., Sanford C. Bernstein & Co. Respondent Lawyers(s): Sean M. Murphy Arbitrator(s): Erik R. Siering, Robert E. Lawson, Robert Edward Koondel Hearing Site: Los Angeles, CA
| | $0 |
10-02664 | 06/24/2011 | Claimant(s): Susan Ginsburg, David M. Ginsburg Test. Trust by S. Gins Claimant Lawyers(s): R. Diego Velazquez Respondent(s): Sanford C. Bernstein & Co., Laurence Bertan, Paul Cobuzzi, Alliancebernstein Investments. Respondent Lawyers(s): Sean M. Murphy Arbitrator(s): Mitchell S. Friedman, Michael S. Perinelli, Edwin H. Bennett Hearing Site: New York, NY
| | $0 |
09-02892 | 02/18/2011 | Claimant(s): Keith Cohn, Keith Cohn Rollover IRA Trust Claimant Lawyers(s): Philip Borowsky Respondent(s): AllianceBernstein L.P., Sanford C. Bernstein & Co., LC Respondent Lawyers(s): Tommaso Bencivenga Arbitrator(s): Alvin L. Fishman, Michael Lancaster Garcia Hearing Site: San Francisco, CA
| | $553,333 |
09-04485 | 12/08/2010 | Claimant(s): Beverly Ginn, Russell Ginn, CVWT, LLP, Ginnwey Investments Claimant Lawyers(s): Timothy M. McDaniel Respondent(s): Alliance Bernstein, Bernstein Global Wealth Management, Sanford C. Bernstein & Co. Respondent Lawyers(s): Sean M. Murphy Arbitrator(s): Raymond C. Kerr, Joshua D. Wallach, Deirdre Renee Fuller Hearing Site: Houston, TX
| | $200,000 |
09-03993 | 10/01/2010 | Claimant(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
| | $600 |
09-04900 | 08/30/2010 | Claimant(s): Alvin Kling, Pearl Kling, Alvin Kling Revocable Trust, Howard Gary Kling Irrevocable Trust Claimant Lawyers(s): Jared A. Levy Respondent(s): Sanford C. Bernstein & Co. Respondent Lawyers(s): Andrew W. Robertson Arbitrator(s): Michael J. Quarequio, Philip L. Manczak Hearing Site: Boca Raton, FL
| | $18,300 |