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FINRA Awards for James L. Komie

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Displaying 21-22 out of 22 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0178809/08/2010Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Felix Deacon
Respondent Lawyers(s): Felix E. Deacon
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Richmond, VA
07-0281607/31/2008Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): UBS Financial Services Inc., Michael Fisher
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Edward Baer, Carol E. Weir, John N. Polakas
Hearing Site: New York, NY

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