| 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 |
| 10-00329 | 12/07/2012 | Claimant(s): Nations Financial Group.
Claimant Lawyers(s): William T McCartan
Respondent(s): Bruce Guarino, Clifford Morgan
Respondent Lawyers(s): Clifford Todd Morgan, Robert M. Bursky
Arbitrator(s): Clarence Smith
Hearing Site: New York, NY
| | |
| 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 |
| 08-00829 | 02/04/2009 | Claimant(s): Sharon Davis
Claimant Lawyers(s): Marc J. Ross
Respondent(s): Bruce Guarino, Christopher Ferrara, Christopher Pollina, Edward Puttick, George Hasapes, John Williams, Joseph Natoli, Advanced Planning Securities., Rockwell Global Capital
Respondent Lawyers(s): David S. Smith, John Jackson Williams, Joseph F. Keenan
Arbitrator(s): Stuart K. Furman, Robert J. Walter, Greg Knight
Hearing Site: Orlando, FL
| | $0 |
