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FINRA Awards for Neuberger Berman

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0114309/26/2011Claimant(s): Gerald L. Smolensky
Claimant Lawyers(s): Eliot Goldstein
Respondent(s): Neuberger Berman
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Robert J. Morris, Gary L. Hodge, Elwin Lawrence Saviet
Hearing Site: Tampa, FL
Checkmark Icon$109,000
09-0226812/23/2010Claimant(s): Michael Stein, William Aaron
Claimant Lawyers(s): Michael I. Allen
Respondent(s): Neuberger Berman
Respondent Lawyers(s): Randi W. Singer
Arbitrator(s): Stephanie Morse-Shamosh, William C. Struyk, Sheldon Curtis
Hearing Site: New York, NY

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