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FINRA Awards for Samuel Berger

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Case Number Award Date Case Summary Customer Case? Amount Granted
03-0212711/02/2007Claimant(s): William F. Garland
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Dale Low, Eric Salz, Charles Schwab & Co.., Samuel Berger, SDR Capital Management.
Respondent Lawyers(s): Brian A. Carlis, Richard A. Karoly
Arbitrator(s): Sterling N. Frost, Peter Kassel, Bradley C. Mitchell
Hearing Site: San Francisco, CA
Checkmark IconStipulated Award and Expungement

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