| 12-02032 | 03/03/2014 | Claimant(s): Daniel Baron
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Adam Riback, National Securities Corporation
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Fred S. Pieroni, Barbara Weisman, Joan Marie Chiusano
Hearing Site: Newark, NJ
|  | Stipulated Award and Expungement |
| 13-02162 | 01/02/2014 | Claimant(s): Marlin Salmon
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): NFP Securities.
Respondent Lawyers(s): Robin Corwin Campbell
Arbitrator(s): Kenneth Dymond
Hearing Site: Buffalo, NY
| | $300 |
| 11-04269 | 09/10/2013 | Claimant(s): Steven Jones
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Citigroup Global Markets., UBS Financial Services Inc., Marvin Goldin, Michael Kosik
Respondent Lawyers(s): Amy B. Bard, William Hohauser
Arbitrator(s): Roger J. Hawke, Marguerite B. Filson, Lincoln W. Craighead
Hearing Site: New York, NY
| | Expungement |
| 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 |
| 12-01582 | 07/02/2013 | Claimant(s): Luis Rojas
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sandra Caldera
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Myron E. Levenson, Will Murphy, Soraya Maria Figueiredo
Hearing Site: Miami, FL
| | 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 |
| 11-04165 | 05/28/2013 | Claimant(s): Douglas Ray Cheek D/P/A for Bobby Cheek
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
| | Expungement |
