Our Staff has compiled our research into a database of FINRA Broker Disclosures for Neuberger Berman Bd 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 |
|---|---|---|---|---|---|---|---|---|
| Brian Michael Case | 3148339 | 1 | 02/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nikki Anne Marshall | 2605715 | 1 | 12/11/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alexandru Bacu-Colfescu | 5002921 | 1 | 12/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marvin Charles Schwartz | 416365 | 1 | 02/16/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Lauren Farrell van Housen | 5458546 | 1 | 10/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Noureen Wendy McPartland | 2755247 | 1 | 09/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tonya Yvonne Johnson | 6407279 | 7 | 05/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tonya Yvonne Johnson | 6407279 | 7 | 11/19/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Eugene Hahn | 2649269 | 2 | 05/26/2011 | Customer Dispute | Award / Judgment | $7,560,970.00 | $5,067,800.00 | See FINRA Report |
| Tonya Yvonne Johnson | 6407279 | 7 | 07/23/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |