FINRA Awards for Rockwell Global Capital LLC

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Displaying 21-30 out of 37 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-03539	07/19/2013	Claimant(s): Lois Padgett, Vic Padgett Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Amelia F. Adams Hearing Site: Indianapolis, IN		Expungement
11-04134	07/01/2013	Claimant(s): Randall Strider, Roland Stout, Randy and Randy. Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Leonard E. Benade Hearing Site: Charlotte, NC		Expungement
12-00037	05/28/2013	Claimant(s): Estelle Kranzberg, Morris Kranzberg Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Richard S. Zaifert Hearing Site: Boca Raton, FL		Expungement
11-04063	05/24/2013	Claimant(s): Steven Mink Claimant Lawyers(s): Lars K. Soreide Respondent(s): Bruce Guarino, Rockwell Global Capital LLC Respondent Lawyers(s): Martin H. Kaplan Arbitrator(s): Robert J. Ambrogi Hearing Site: Augusta, ME		Expungement
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
12-03018	04/16/2013	Claimant(s): Rockwell Global Capital LLC Claimant Lawyers(s): Michael S. Colombo Respondent(s): Dennis Hanrahan Respondent Lawyers(s): Dennis Christopher Hanrahan Arbitrator(s): Keely D. Parr Hearing Site: New York, NY
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