Our Staff has compiled our research into a database of FINRA Broker Disclosures for Sanford C. Bernstein & Co., LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Andrew Michael Hess | 5582718 | 1 | 01/04/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Judith Rosenthal | 2864189 | 2 | 08/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Anthony Westropp | 814048 | 2 | 01/15/2021 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Daniel Joseph Pacella | 5069689 | 1 | 08/21/2020 | Customer Dispute | Settled | $739,000.00 | $0.00 | See FINRA Report |
| Richard Lindsay Newton Weaver | 874075 | 1 | 08/21/2020 | Customer Dispute | Settled | $739,000.00 | $0.00 | See FINRA Report |
| Judith Rosenthal | 2864189 | 2 | 03/06/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jose G Torres | 7422262 | 1 | 09/17/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael F Picardi | 7296260 | 1 | 08/18/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jamie Neil Husney | 3268825 | 1 | 12/11/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Lippman | 4452046 | 3 | 03/30/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |