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 |
| 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 |
| Darren Marshall Menaker | 4131172 | 1 | 11/06/2013 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Sue Ann Caplan | 1643660 | 1 | 08/13/2013 | Customer Dispute | Settled | $157,794.00 | $0.00 | See FINRA Report |
| Paul Edward Dorr | 2323669 | 1 | 06/12/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jonathan Brad Underkofler | 4599035 | 8 | 03/21/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Scott Storch | 2780145 | 2 | 12/27/2011 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Mark A. Smith | 4660385 | 1 | 08/17/2011 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |