| 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 |
| 10-04349 | 02/09/2012 | Claimant(s): Lois Hirschtritt
Claimant Lawyers(s): Richard Hirschtritt
Respondent(s): Lawrence Lee, Rockwell Global Capital LLC
Respondent Lawyers(s): Lawrence Y. Lee, Robert M. Bursky
Arbitrator(s): Ellen J. Abrams
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 09-04496 | 10/19/2010 | Claimant(s): Maurice Kelly
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Michael J. McAllister, Robert Youdelman, George E. Kroon
Hearing Site: New York, NY
| | $100,000 |
