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 |
10-04673 | 09/23/2011 | Claimant(s): Bruce D. Angiolillo and Carol Angiolillo Claimant Lawyers(s): Mitchell Berns Respondent(s): Neuberger Berman LLC Respondent Lawyers(s): David G. Russell Arbitrator(s): Susan Mills Richmond, Zuhayr A. Moghrabi, Erica Bunin Hearing Site: New York, NY
| | $1,125,140 |
10-02252 | 07/15/2011 | Claimant(s): Ira Robb, Iracini Equity, Edward W. Leshin Rollover IRA, Ira Robb Rollover IRA, Almalech Living Trust Claimant Lawyers(s): Alan F. Block Respondent(s): Brad Cetron, Bradley Tank, Brian Hahn, Edward Grieb, Joseph Amato, Neuberger Berman LLC Respondent Lawyers(s): Seth M. Schwartz Arbitrator(s): Ray J. Grzebielski, Matthew P. Hardy, G. Marshall Abbey Hearing Site: Chicago, IL
| | $323,420 |
10-01380 | 07/12/2011 | Claimant(s): Eleanor Levine Claimant Lawyers(s): Jason S. Haselkorn Respondent(s): Neuberger Berman LLC Respondent Lawyers(s): Victor A. Machcinski Arbitrator(s): Gloria O. North, Thomas Czinner, Richard Andrew Cahlin Hearing Site: Boca Raton, FL
| | $0 |
10-01149 | 06/10/2011 | Claimant(s): Ellen Brown Claimant Lawyers(s): Marc I. Zussman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Neuberger Berman LLC Respondent Lawyers(s): Mitchell Albert, Tara A. LaClair Arbitrator(s): Herbert Leslie Greenberg, Vincent J. Natoli, Daniel R. Brush Hearing Site: Los Angeles, CA
| | $0 |
06-05211 | 11/06/2007 | Claimant(s): Joan Lair Claimant Lawyers(s): Mitchell H. Cobert Respondent(s): Neuberger Berman LLC Respondent Lawyers(s): Victor A. Machcinski Arbitrator(s): Clifford A. Harwick, Robert J. McDonnell, Robert T. Costello Hearing Site: Newark, NJ
| | $0 |