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 |
|---|---|---|---|---|---|---|---|---|
| Martin Edward Messinger | 332698 | 1 | 10/01/2003 | Customer Dispute | Closed-No Action | $23,000.00 | $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 |
| Steven Michael Albanesi | 3252577 | 1 | 01/13/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam Joseph Trivison | 5885815 | 1 | 09/24/2002 | Criminal | Final Disposition | $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 |
| Lola B Cline | 2943157 | 1 | 11/02/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Andrew van Kouteren | 2080093 | 1 | 04/20/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |