FINRA Awards for Martin H. Kaplan

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 11-20 out of 21 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-03373	05/10/2013	Claimant(s): Crown Metal Employee Manufacturing Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Michael F. Jordan Hearing Site: Chicago, IL		Expungement
11-04199	04/25/2013	Claimant(s): Philip Gold Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Mitchell S. Friedman Hearing Site: New York, NY		Expungement
11-04456	04/23/2013	Claimant(s): Precision Interior Construction Corp. Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Douglas Guarino, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Sanford S. Stevens Hearing Site: New York, NY		Expungement
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