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FINRA Awards for AllianceBernstein L.P.

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0101503/08/2018Claimant(s): AllianceBernstein L.P.
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Robert Ziegler
Respondent Lawyers(s): Louis M. Lagalante
Arbitrator(s): David F. Simon
Hearing Site: Charlotte, NC
10-0568710/19/2012Claimant(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
Checkmark Icon$30,000
09-0289202/18/2011Claimant(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
Checkmark Icon$553,333

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