Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 10-03471 | 12/22/2011 | Claimant(s): The Circle Trust UAD, Joan Lane TTEE Claimant Lawyers(s): Hartley T. Bernstein Respondent(s): Donna Leone, Laura Sloate, Neuberger Berman LLC, SWM Securities., Sloate, Weisman, Murray & Company. Respondent Lawyers(s): Compliance Officer, Donna M. Leone, Victor A. Machcinski Arbitrator(s): Harvey Barrison, Lisa Catalano, Robert S. Clemente Hearing Site: New York, NY |  | Expungement |
| 09-02399 | 03/16/2011 | Claimant(s): David Licht, Emanuel Licht Claimant Lawyers(s): Hartley T. Bernstein Respondent(s): Glenn Krause, Kimon Daifotis, Charles Schwab & Co.. Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Louis H. Miron, Linda T. Pellegrino, Richard W Reilly Hearing Site: Newark, NJ | | Expungement |
| 08-04683 | 05/20/2009 | Claimant(s): Vivian Stirpe Claimant Lawyers(s): Vivian D. Stirpe Respondent(s): Rafael Golan Respondent Lawyers(s): Hartley T. Bernstein Arbitrator(s): Ellen J. Abrams Hearing Site: Ft. Lauderdale, FL | | $88 |