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FINRA Awards for Howard Clark Posner

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Displaying 5 out of 5 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0318808/14/2024Claimant(s): David Moran, David Moran on behalf of his IRA account
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Robert D. Sussin, Joseph Alfred Davis, Howard Clark Posner
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12206
22-0041108/23/2022Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William H. Badinelli
Arbitrator(s): Steven Gourley, Andrea Luise Halperin, Howard Clark Posner
Hearing Site: Los Angeles, CA
20-0224307/21/2021Claimant(s): Doris Chien, John Chien
Claimant Lawyers(s): John Y. Chien
Respondent(s): J.P. Morgan Securities, Jason Jensen, Tim Lippincott
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Joseph C. Watson, Daniel David Kopman, Howard Clark Posner
Hearing Site: Los Angeles, CA
Checkmark Icon$0
18-0015207/05/2018Claimant(s): Shawn Patt
Claimant Lawyers(s): Shawn Shyama Patt
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Hillary A. Darnell
Arbitrator(s): Robert Rosen, David Maurer, Howard Clark Posner
Hearing Site: Los Angeles, CA
16-0008602/16/2018Claimant(s): Rake Murray
Claimant Lawyers(s): Eric Walraven
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Mitchell J. Albert
Arbitrator(s): Joseph C. Watson, Jill Switzer, Howard Clark Posner
Hearing Site: Los Angeles, CA

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