| 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 |
| 11-04209 | 02/22/2013 | Claimant(s): Edward Schell
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): NewBridge Securities Corp., Robert Macnamee
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Doris J. Dabrowski
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-04592 | 02/20/2013 | Claimant(s): John Herl
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): John Greer
Respondent Lawyers(s): John Michael Greer
Arbitrator(s): Jack Stein, James W. Geiger, Daniel P. Lund
Hearing Site: Ft. Lauderdale, FL
| | $390,800 |
| 12-00996 | 02/06/2013 | Claimant(s): Gillman Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Wachovia Securities, Shirley Polidori
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Steven Ira Weinberger
Hearing Site: Boca Raton, FL
| | $96,799 |
| 11-02603 | 10/19/2012 | Claimant(s): Maria Collado
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Deutsche Bank Securities., Kevin Gai
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | $0 |
| 11-00260 | 10/16/2012 | Claimant(s): Jill Goldman, The Goldman Family 2007 Irrev. Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Hugh Wallschleger, R. Seelaus & Co..
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Michael Fischetti, Robert E. Anderson, Sherrill Ruth Austin
Hearing Site: Newark, NJ
| | Stipulated Award and Expungement |
| 10-05262 | 10/08/2012 | Claimant(s): Diane Wendin
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Stephens.
Respondent Lawyers(s): Kim Keller Fowler
Arbitrator(s): Stan West, Barth Satuloff, John S. Leech
Hearing Site: Boca Raton, FL
| | $15,749 |
| 11-01278 | 09/26/2012 | Claimant(s): Annette Mancini, Dominic Mancini
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Harvest Capital LLC
Respondent Lawyers(s): Richard N. Freeth
Arbitrator(s): Howard I. Wilgoren, B. J. Krintzman, Thomas C. Tretter
Hearing Site: Boston, MA
| | $158,250 |
| 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 |
| 11-02113 | 08/30/2012 | Claimant(s): Kathleen Johnston, Richard Johnston
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Alicia McGovern, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Marvin I. Horowitz
Hearing Site: Detroit, MI
| | Expungement |
