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FINRA Awards for James R. Augustine

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0351306/18/2010Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Jason Cooney
Respondent Lawyers(s): Jason Cooney
Arbitrator(s): James R. Augustine, John Michael Watson, Nathan Levy
Hearing Site: Houston, TX
08-0034602/23/2009Claimant(s): Robert Drake
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Felicity A. Fowler
Arbitrator(s): James R. Augustine, W. Merrill Glasgow, Richard F. Dole
Hearing Site: Houston, TX
07-0309311/17/2008Claimant(s): Charles Satterfield
Claimant Lawyers(s): Charles M. Satterfield
Respondent(s): Bernerd Young, Daniel Bogar, Pamela Beckstrom, Stanford Group Company
Respondent Lawyers(s): Stephen H. Lee
Arbitrator(s): James R. Augustine, Donald K. Eckhardt, Eric R. Benton
Hearing Site: Houston, TX

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