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FINRA Awards for Mitchell S. Friedman

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0219311/04/2013Claimant(s): Gerard Sagliocca
Claimant Lawyers(s): Gerard J. Sagliocca
Respondent(s): Michael Kaplan, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor, Michael Kaplan
Arbitrator(s): Mitchell S. Friedman
Hearing Site: Albany, NY
Checkmark Icon$0
11-0419904/25/2013Claimant(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
Checkmark IconExpungement

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