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FINRA Awards for Marion F. Posner

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0178311/26/2018Claimant(s): Peter Schwartz
Claimant Lawyers(s): Peter Augustine Schwartz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Michael S. Hanan
Arbitrator(s): Elliot Berman, Marion F. Posner, Candi Marie Halbert
Hearing Site: New York, NY
14-0116204/10/2015Claimant(s): John Ames
Claimant Lawyers(s): Ethan Andrew Brecher
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick Shea
Arbitrator(s): Kinchen C. Bizzell, Abigail J. Pessen, Marion F. Posner
Hearing Site: New York, NY
10-0480510/12/2011Claimant(s): James Rathgeber
Claimant Lawyers(s): James A. Rathgeber
Respondent(s): Antony Turberville, David Locy, David McCoy, Denise Zumbrun, Kyong Kim, Paul Balog, Phil Fatta, Brookstone Securities.
Respondent Lawyers(s): Christopher L. Van De Water, Marc L. Abramson
Arbitrator(s): Gilbert F. Bach, Mary Lou McGanney, Marion F. Posner
Hearing Site: New York, NY

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