HOWARD BROWNLOW BARNWELL is currently employed as a Broker and/or Investment Adviser at BMO CAPITAL MARKETS CORP. located at 700 LOUISIANA, SUITE 2100, HOUSTON, TX, 77002.
HOWARD BROWNLOW BARNWELL has worked at BMO CAPITAL MARKETS CORP. since June 14, 2012
Disclosure History
HOWARD BROWNLOW BARNWELL has 2 Disclosure Event(s).
Date: June 11, 2008 Category: Judgment / Lien Judgment/Lien Amount: $721,707.95 Judgment/Lien Type: Civil Broker Comment: In September 2005, credit card companies were awarded damages that stemmed from my prior involvement as a contract arbitrator with an arbitration forum business that members of my family and another individual owned and operated. I intermittingly served as one of the arbitration forum's contract arbitrators on some credit card arbitrations over a period of 1-2 months more than 10 years ago. The courts originally awarded compensatory and punitive damages in 2005 and they were subsequently transferred to California in July 2008. Historically, I was under the impression that this was not a reportable U-4 event. Prior to working for BMO Capital Markets, I worked for UBS Securities (a FINRA member organization) and they were aware of the judgments. While I worked for UBS in California a portion of my wages were being garnished to satisfy the judgment. During 2008-2009, I made good faith efforts to settle the judgment but they were rejected and a counter offer was never received from the credit card companies or their attorneys. In 2010, I relocated from California to Texas with UBS. Shortly thereafter the wage garnishments stopped. The credit card companies with whom the judgments were awarded have not contacted me since 2008, regarding this matter. Given the lack of contact from them and that it has been almost 10 years since the original judgment was awarded, I had not tried to resolve the matter since then. Post being notified by BMO that this was a possible U-4 disclosure event, I have tried to contact the attorney that handled the judgment in California for the credit card companies. It is my understanding that he is no longer with the same law firm as someone else now has his phone number. I am in the process of trying to find someone directly at credit card company that may be able to negotiate a possible settlement.
Date: June 11, 2008 Category: Judgment / Lien Judgment/Lien Amount: $747,256.41 Judgment/Lien Type: Civil Broker Comment: In September 2005, credit card companies were awarded damages that stemmed from my prior involvement as a contract arbitrator with an arbitration forum business that members of my family and another individual owned and operated. I intermittingly served as one of the arbitration forum's contract arbitrators on some credit card arbitrations over a period of 1-2 months more than 10 years ago. The courts originally awarded compensatory and punitive damages in 2005 and they were subsequently transferred to California in July 2008. Historically, I was under the impression that this was not a reportable U-4 event. Prior to working for BMO Capital Markets, I worked for UBS Securities (a FINRA member organization) and they were aware of the judgments. While I worked for UBS in California a portion of my wages were being garnished to satisfy the judgment. During 2008-2009, I made good faith efforts to settle the judgment but they were rejected and a counter offer was never received from the credit card companies or their attorneys. In 2010, I relocated from California to Texas with UBS. Shortly thereafter the wage garnishments stopped. The credit card companies with whom the judgments were awarded have not contacted me since 2008, regarding this matter. Given the lack of contact from them and that it has been almost 10 years since the original judgment was awarded, I had not tried to resolve the matter since then. Post being notified by BMO that this was a possible U-4 disclosure event, I have tried to contact the attorney that handled the judgment in California for the credit card companies. It is my understanding that he is no longer with the same law firm as someone else now has his phone number. I am in the process of trying to find someone directly at credit card company that may be able to negotiate a possible settlement.
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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