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 |
|---|---|---|---|---|---|---|---|---|
| Gregory David Miller | 2802347 | 1 | 11/17/2009 | Customer Dispute | Closed-No Action | $290,014.00 | $0.00 | See FINRA Report |
| Jeffrey S Wiesenfeld | 4240722 | 2 | 10/01/2009 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Joaquin Dulitzky | 2919275 | 3 | 09/24/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joaquin Dulitzky | 2919275 | 3 | 09/16/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Brad Underkofler | 4599035 | 8 | 09/08/2009 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Joaquin Dulitzky | 2919275 | 3 | 07/24/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| M. Joseph Robinson | 1596082 | 3 | 06/22/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Lori Constance Lewin | 1421309 | 1 | 06/04/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Brad Underkofler | 4599035 | 8 | 01/26/2009 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Jonathan Brad Underkofler | 4599035 | 8 | 01/16/2009 | Customer Dispute | Denied | $27,871.30 | $0.00 | See FINRA Report |