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FINRA Awards for James L. Komie

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0161802/27/2023Claimant(s): Kenton Rose, Marie Rose
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Charles Kiker, Commonwealth Financial Network
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Theodore W. Wrobleski, Robert S. Grabemann, Helen B Bloch
Hearing Site: Chicago, IL
Checkmark Icon$0
09-0197612/03/2010Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Anthony Marchese, Carolyn A. Mann, Lynne M. Reid-McQueen
Hearing Site: New York, NY
Checkmark Icon$2,428,030

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