| 18-04014 | 02/03/2021 | Claimant(s): JC McCall Revocable Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Carmine Berardi, Jonathan McCormack, Philip Sparacino, Robert Spiegel, William Gennity, First Standard Financial Company LLC
Respondent Lawyers(s): Craig A. Riha, Martin H. Kaplan
Arbitrator(s): Alain Frecon
Hearing Site: Des Moines, IA
|  | $114,383 |
| 18-02740 | 11/25/2020 | Claimant(s): Finitive LLC, North Capital Private Securities Corpora
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): CleanCapital LLC, Jon Barlow Advisory LLC
Respondent Lawyers(s): Kimberly A. Havlin, Martin H. Kaplan
Arbitrator(s): Michael J. Maran, Camille S. Cooper, Ronald Harris Kisner
Hearing Site: New York, NY
| | $0 |
| 16-00914 | 02/20/2019 | Claimant(s): Trenchant Funds USA LLC
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. LaChaussee
Arbitrator(s): Michael G. Shannon, Roger B. Jacobs, Amy Jill Baranoff
Hearing Site: New York, NY
| | |
| 15-00283 | 07/17/2017 | Claimant(s): Mark Farwell
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): LPL Financial LLC, Robert Kennedy, Spencer Lewis, Summer Pretzer, Thomas Estridge
Respondent Lawyers(s): David Baugh
Arbitrator(s): Rody P. Biggert, Laura M. Nelson, Michael Cotter Greenfield
Hearing Site: Chicago, IL
| | |
| 15-00461 | 03/24/2016 | Claimant(s): Albert Akerman
Claimant Lawyers(s): Avrohom Gefen
Respondent(s): CL Wealth Management, Cabot Lodge Securities LLC
Respondent Lawyers(s): Martin H. Kaplan, Martin Kaplan
Arbitrator(s): William G. Binckes, Robert E. Riccobono, Robert Michael O'Brien
Hearing Site: New York, NY
| | |
| 11-03723 | 08/27/2013 | Claimant(s): Katharine Hazen, Kirk Hazen
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Patricia Gunn
Hearing Site: Orlando, FL
| | Expungement |
| 11-03110 | 08/26/2013 | Claimant(s): James Brunner, Louise Brunner
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03109 | 07/23/2013 | Claimant(s): Lincoln Mendez
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 L. Bernstein
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 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 |
