Sanford C. Bernstein & Co.

There are Recent Customer Complaints with Broker Matthew Shapiro in Firm Sanford C. Bernstein & Co., LLC

December 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Shapiro (Shapiro), previously associated with Sanford C. Bernstein & Co., LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shapiro recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $422,000.00 on March 16, 2022.

The Customer alleged unsuitable investment recommendations.

Broker Carson Pope in Sanford C. Bernstein & Co., LLC Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 01, 2022.

Client alleges that the charges associated with a term conversion to a variable policy in 2021 were misrepresented.

Broker Mary Ann Best in Sanford C. Bernstein & Co., LLC Firm Has Customer Complaint

September 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mary Ann Best (Best), currently associated with Sanford C. Bernstein & Co., LLC, has at least one disclosable event. These events include one customer complaint, alleging that Best recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $489,703.26 on February 28, 2023.

The Customer alleged unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Ronald Smith in Firm Sanford C. Bernstein & Co., LLC

June 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on February 22, 2024.

Breach of Fiduciary Duty, Negligence, Failure to Supervise, Failure to Recommend Suitable Investments, Failureto Act in Claimants Best Interest, Unauthorized Trading, Misrepresentation and Omission of Material Facts.

Broker Devin Patel in Sanford C. Bernstein & Co., LLC Firm Has Customer Complaint

March 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Devin Patel (Patel), currently associated with Sanford C. Bernstein & Co., LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Patel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 17, 2025.

The customer alleged unsuitable investment recommendations, unfair or deceptive acts or practices, fraud, false and misleading representations and omissions, conspiracy, breach of contract, and unjust enrichment.