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 |
|---|---|---|---|---|---|---|---|---|
| James Thomas Mandrola | 6998546 | 1 | 05/26/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Basma Sofia Shaikhaleid | 4803133 | 1 | 11/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abigail Kaufmann | 7326837 | 1 | 03/25/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Craig Scott Storch | 2780145 | 2 | 12/09/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Evan C Deoul | 4771593 | 1 | 12/09/2013 | Regulatory | Final | $0.00 | $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 |
| Stephen Lippman | 4452046 | 3 | 03/07/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |