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 |
|---|---|---|---|---|---|---|---|---|
| Bradley Curtis Tank | 1060650 | 1 | 04/03/2009 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Joseph Vincent Amato | 2210305 | 1 | 04/03/2009 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Brad Elliot Cetron | 4040222 | 1 | 04/03/2009 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Shawn Robert Ryan | 4587935 | 1 | 08/11/2008 | Customer Dispute | Settled | $320,000.00 | $0.00 | See FINRA Report |
| Tonya Yvonne Johnson | 6407279 | 7 | 04/12/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roger Henry Tulcin | 846337 | 1 | 01/04/2008 | Customer Dispute | Closed-No Action | $37,000.00 | $0.00 | See FINRA Report |
| Tonya Yvonne Johnson | 6407279 | 7 | 06/26/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tonya Yvonne Johnson | 6407279 | 7 | 06/30/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tonya Yvonne Johnson | 6407279 | 7 | 03/09/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Mark Werman | 1583066 | 2 | 01/18/2005 | Customer Dispute | Settled | $363,871.00 | $0.00 | See FINRA Report |