FINRA Awards for Bruce Guarino

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Displaying 21-28 out of 28 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-03364	04/11/2013	Claimant(s): Ralph Rugolo Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Peter Ferrara, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA		Expungement
11-03882	04/02/2013	Claimant(s): John McNiven Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Stephen P. LaLonde Hearing Site: Albany, NY		Expungement
12-01720	04/02/2013	Claimant(s): Norman Hoffberg Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Gregory G. Gocek Hearing Site: Chicago, IL		Expungement
11-03384	03/25/2013	Claimant(s): Daniel Calitri Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Nickolas F. Monteforte Hearing Site: Providence, RI		Expungement
11-03561	03/15/2013	Claimant(s): Alan Hainsworth Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Ralph L. Halpern Hearing Site: Buffalo, NY		Expungement
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
08-00829	02/04/2009	Claimant(s): Sharon Davis Claimant Lawyers(s): Marc J. Ross Respondent(s): Bruce Guarino, Christopher Ferrara, Christopher Pollina, Edward Puttick, George Hasapes, John Williams, Joseph Natoli, Advanced Planning Securities., Rockwell Global Capital Respondent Lawyers(s): David S. Smith, John Jackson Williams, Joseph F. Keenan Arbitrator(s): Stuart K. Furman, Robert J. Walter, Greg Knight Hearing Site: Orlando, FL		$0