FINRA Awards for Rockwell Global Capital LLC

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Displaying 31-34 out of 34 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-04308	03/14/2013	Claimant(s): Stephen Trigg 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 J. Arata Hearing Site: New York, NY		Expungement
11-04587	09/07/2012	Claimant(s): Marvin Rotman Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Peter Ferrara, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Elizabeth Gilbert Hearing Site: New York, NY		$25,000
10-04349	02/09/2012	Claimant(s): Lois Hirschtritt Claimant Lawyers(s): Richard Hirschtritt Respondent(s): Lawrence Lee, Rockwell Global Capital LLC Respondent Lawyers(s): Lawrence Y. Lee, Robert M. Bursky Arbitrator(s): Ellen J. Abrams Hearing Site: Ft. Lauderdale, FL		$0
09-04496	10/19/2010	Claimant(s): Maurice Kelly Claimant Lawyers(s): W. Alexander Melbardis Respondent(s): Rockwell Global Capital LLC Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): Michael J. McAllister, Robert Youdelman, George E. Kroon Hearing Site: New York, NY		$100,000