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 |
|---|---|---|---|---|---|---|---|---|
| Roger Henry Tulcin | 846337 | 1 | 01/04/2008 | Customer Dispute | Closed-No Action | $37,000.00 | $0.00 | See FINRA Report |
| Richard Mark Werman | 1583066 | 2 | 01/18/2005 | Customer Dispute | Settled | $363,871.00 | $0.00 | See FINRA Report |
| Patrick Warren Kenefick | 2536500 | 1 | 06/17/2003 | Customer Dispute | Denied | $34,799.20 | $0.00 | See FINRA Report |
| Steven Eisman | 1397510 | 1 | 05/05/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Andrew Rachlin | 1579658 | 1 | 09/17/2002 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Linda Joyce Ludwig | 5364913 | 1 | 01/02/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Mark Werman | 1583066 | 2 | 01/23/2001 | Customer Dispute | Settled | $28,549.00 | $0.00 | See FINRA Report |