Neuberger Berman Bd LLC

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marvin Schwartz (Schwartz), currently associated with Neuberger Berman Bd LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schwartz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 16, 2023.

Complainant is a brokerage and discretionary investment advisory client of the firm. Complainant alleges that beginning in May 2021, his registered representative and investment adviser representative (who are the same person) failed to follow instructions regarding financing options for the acquisition of art and certain securities transactions, which securities transactions he further alleged were unsuitable.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nikki Marshall (Marshall), currently associated with Neuberger Berman Bd LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marshall recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 11, 2023.

Claimants have been investment advisory clients of Respondent for more than fifteen years. They allege that they incurred damages as a result of Respondents’ provision of erroneous supplemental monthly performance reports from December 2022 through October 2023. Respondents consider the claims to be entirely without merit and intend to vigorously defend themselves.

Articles Tagged with Neuberger Berman Bd LLC

Broker Marvin Schwartz in Neuberger Berman Bd LLC Firm Has Customer Complaint

Broker Nikki Marshall in Neuberger Berman Bd LLC Firm Has Customer Complaint