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FINRA Awards for Peter Ferrara

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0336404/11/2013Claimant(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
Checkmark IconExpungement
11-0458709/07/2012Claimant(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
Checkmark Icon$25,000

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