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FINRA Awards for Rockwell Global Capital LLC

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Displaying 11-20 out of 34 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0029311/26/2014Claimant(s): Fredrick Griffin
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): William S. Glickfield, William H. Fleece, Arthur J. Zelenak
Hearing Site: Tampa, FL
Checkmark Icon$306,132
12-0240903/27/2014Claimant(s): Wallace Truszkowski
Claimant Lawyers(s): Wallace Truszkowski
Respondent(s): Craig Escobar, Patrick Darby, Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky, Ross David Carmel
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
Checkmark IconExpungement
12-0025712/16/2013Claimant(s): Donald Vandendriessche
Claimant Lawyers(s): Donald Vandendriessche
Respondent(s): Carmine Sarnelli, David Dambra, Rockwell Global Capital LLC
Respondent Lawyers(s): David J. Dambra, Robert M. Bursky
Arbitrator(s): Emily B. Boote, Donald Ray McNeil, Kathleen Sweeney Tillotson
Hearing Site: Minneapolis, MN
Checkmark Icon$0
12-0258110/24/2013Claimant(s): Arthur Giangrande
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Nancy E. Watters, Christine Pastelis Ritch, Thomas Matthew Madden
Hearing Site: Boston, MA
Checkmark Icon$190,345
11-0386808/28/2013Claimant(s): Timothy Donaldson
Claimant Lawyers(s): Timothy Donaldson
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Thomas C. McNally, Robert H. Cornell, Kenneth W. Gosliner
Hearing Site: Honolulu, HI
Checkmark IconExpungement
11-0372308/27/2013Claimant(s): Katharine Hazen, Kirk Hazen
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Patricia Gunn
Hearing Site: Orlando, FL
Checkmark IconExpungement
11-0311008/26/2013Claimant(s): James Brunner, Louise Brunner
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
11-0310907/23/2013Claimant(s): Lincoln Mendez
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Joseph L. Bernstein
Hearing Site: Ft. Lauderdale, FL
Checkmark IconExpungement
11-0353907/19/2013Claimant(s): Lois Padgett, Vic Padgett
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Amelia F. Adams
Hearing Site: Indianapolis, IN
Checkmark IconExpungement
11-0413407/01/2013Claimant(s): Randall Strider, Roland Stout, Randy and Randy.
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
Checkmark IconExpungement

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