ELLIOTT HENRY EISMAN

ELLIOTT HENRY EISMAN is currently employed as a Broker and/or Investment Adviser at NEUBERGER BERMAN BD LLC located at 1290 AVENUE OF THE AMERICAS, NEW YORK, NY, 10104.

ELLIOTT HENRY EISMAN has worked at NEUBERGER BERMAN BD LLC since September 02, 1999

Disclosure History

ELLIOTT HENRY EISMAN has 1 Disclosure Event(s).

Date: May 01, 1987
Category: Customer Dispute
Allegations: IN MAY 1987, A CUSTOMER FILED ACOMPLAINT AGAINST LILLIAN AND ELLOT EISMAN. THE CUSTOMERCOMPLAINED THAT HE WAS DISAPPOINTED WITH THE PERFORMANCE OFCENTERIOR ENERGY, AN ELECTRIC UTILITY STOCK, PURCHASED ON THEEISMANS' RECOMMENDATION FOR HIS PENSION ACCOUNT. TO PRESERVETHE CLIENT'S GOOD WILL AND BECAUSE THE EISMANS BELIEVE THATTHEIR JUDGEMENT MAY HAVE BEEN IN ERROR IN EVALUATING THEPOTENTIAL NEGATIVE EFFECTS OF CERTAIN REGULATORY ACTION,OPPENHEIMER & CO., INC. AGREED TO REMOVE THE TRADE FROM THECLIENT'S ACCOUNT ON JUNE 1, 1987 AT THE EISMANS EXPENSE$11,813.30. OPPENHEIMER & CO. INC DOES NOT BELIEVE THAT THEEISMANS VIOLATED ANY STATUTE, RULE OR REGULATION IN MAKING THEINITIAL RECOMMENDATION TO THE CLIENT. [CUSTOMER]ORALLY COMPLAINED TO OPPENHEIMER IN 5/1987. [CUSTOMER] DID NOTALLEGE ANY COMPENSATORY DAMAGES. THERE WAS NO ADMINISTRATIVE ORCIVIL PROCEEDING AND NO SUPPORTING DOCUMENTS EXIST.
Broker Comment: NOT PROVIDED

More Information

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