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FINRA Awards for Sanford C. Bernstein & Co.

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Displaying 11-20 out of 23 results
Case Number Award Date Case Summary Customer Case? Amount Granted
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
10-0547904/26/2012Claimant(s): Frank Criscola
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Daniel Robbins, Herman Taub, Howard Weitz
Hearing Site: New York, NY
Checkmark Icon$159,902
08-0477611/10/2011Claimant(s): Dudley Pepp
Claimant Lawyers(s): Michael St. Denis
Respondent(s): Bertrand Ginsberg, Russell Grossman, Sandra Morelli, Alliancebernstein Investments., Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Erik R. Siering, Robert E. Lawson, Robert Edward Koondel
Hearing Site: Los Angeles, CA
Checkmark Icon$0
10-0266406/24/2011Claimant(s): Susan Ginsburg, David M. Ginsburg Test. Trust by S. Gins
Claimant Lawyers(s): R. Diego Velazquez
Respondent(s): Sanford C. Bernstein & Co., Laurence Bertan, Paul Cobuzzi, Alliancebernstein Investments.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Mitchell S. Friedman, Michael S. Perinelli, Edwin H. Bennett
Hearing Site: New York, NY
Checkmark Icon$0
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
09-0448512/08/2010Claimant(s): Beverly Ginn, Russell Ginn, CVWT, LLP, Ginnwey Investments
Claimant Lawyers(s): Timothy M. McDaniel
Respondent(s): Alliance Bernstein, Bernstein Global Wealth Management, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Raymond C. Kerr, Joshua D. Wallach, Deirdre Renee Fuller
Hearing Site: Houston, TX
Checkmark Icon$200,000
09-0399310/01/2010Claimant(s): David Sherman, David A.Sherman Liv Tr,
Claimant Lawyers(s): Harvey J. Barnett
Respondent(s): Sanford C. Bernstein & Co., Llc
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Stephen C. Esposito, Herbert S. Channick, David M. Fetter
Hearing Site: Chicago, IL
Checkmark Icon$600
09-0490008/30/2010Claimant(s): Alvin Kling, Pearl Kling, Alvin Kling Revocable Trust, Howard Gary Kling Irrevocable Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Andrew W. Robertson
Arbitrator(s): Michael J. Quarequio, Philip L. Manczak
Hearing Site: Boca Raton, FL
Checkmark Icon$18,300
09-0101108/24/2010Claimant(s): Sandy Lerner
Claimant Lawyers(s): Louis F. Burke
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Carol E. Weir, David J. Pine, Alfred H. Kingon
Hearing Site: New York, NY
Checkmark Icon$0
09-0215408/09/2010Claimant(s): Beverly Goldfarb, Herbert Goldfarb
Claimant Lawyers(s): Brian H. Reis
Respondent(s): Peter Gelwarg, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Edith M. Novack, Walter C. Parrish, Morton S. Bunis
Hearing Site: Newark, NJ
Checkmark Icon$0

23 Results

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