| 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 |
| 08-01879 | 09/02/2011 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Hernando Cortes, James Matthew, Jason Sharfstein, John Kelly, Kevin O'Halloran, Robert Gaeta, Steven Rabinovici, Todd Zuckerbrod, Stockcross Financial Services., The Estate of Gerard Mastrianni
Respondent Lawyers(s): George Brunelle, J. Christopher Albanese, Martin H. Kaplan, Michael P. Gilmore, Todd A. Zuckerbrod
Arbitrator(s): Marc T. Danon, Stuart S. Billington, Jack A. Helms
Hearing Site: Orlando, FL
| | |
| 10-02883 | 04/28/2011 | Claimant(s): Lawrence Stavitski, Michael Halen, Peter Doyle, Raymond Doyle, Samual Suhaka
Claimant Lawyers(s): Robyn Gnudi Kalocsay
Respondent(s): Randolph Hill
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 08-03952 | 02/01/2010 | Claimant(s): Crisostomo ("Tom") Garcia, Crisostomo B. Garcia Trust
Claimant Lawyers(s): James P. Delphey
Respondent(s): Stephen Kaplan, Gilford Securities Incorporated
Respondent Lawyers(s): Gabriel A. Mendel, Martin H. Kaplan
Arbitrator(s): Guenter S. Cohn, Barry E. Kersh, Evelyn R. Wiggins
Hearing Site: San Diego, CA
| | $0 |
| 07-02191 | 06/29/2009 | Claimant(s): First Empire Securities.
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Lawrence Miele
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): J. Julie Jason, Aaron Tyk, Elliot Berman
Hearing Site: New York, NY
| | |
| 07-02345 | 01/22/2009 | Claimant(s): Continental Broker-Dealer Corp. by Ric
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): Edward Schlitzer, George Calleia, Patricia Jamison, Wexford Clearing Services
Respondent Lawyers(s): George Calleia, John R. Braatz
Arbitrator(s): Andrew D. Hudders, Robert Pincus, Richard E. Lerner
Hearing Site: New York, NY
| | |
| 08-02730 | 01/22/2009 | Claimant(s): Joseph Villalba
Claimant Lawyers(s): Joseph Luis Villalba
Respondent(s): Robert Vallone, Hold Brothers On-Line Investment Service
Respondent Lawyers(s): Martin H. Kaplan, Robert A. Vallone
Arbitrator(s): Fred S. Pieroni
Hearing Site: Newark, NJ
| | |
| 08-01290 | 12/04/2008 | Claimant(s): Russell Hartstein
Claimant Lawyers(s): Russell Hartstein
Respondent(s): Hold Brothers On-line Investment Svcs.
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Raymond Nardo
Hearing Site: New York, NY
| | |
