| 13-01588 | 07/06/2015 | Claimant(s): Adrienne Dobrin, Dennis Dobrin
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Alan Chodosh, David Lerner Associates., David Lerner, Edward Finocchiaro, John Dempsey, Martin Lerner
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Shelley Teitelbaum, Alfred H. Kingon, Clarence Smith
Hearing Site: New York, NY
|  | Expungement |
| 13-01595 | 03/27/2015 | Claimant(s): Fred Hager, Pat Hager
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Alan Chodosh, Anthony Faustini, David Lerner Associates., David Lerner, John Dempsey, Martin Lerner
Respondent Lawyers(s): Michael G. Shannon, Trae D. Meyr
Arbitrator(s): Sarah G. Anderson, John D. Mattingly, Dana Tait Sandlin
Hearing Site: Columbia, SC
| | Expungement |
| 13-01586 | 09/22/2014 | Claimant(s): Mattie Seabrook
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Alan Chodosh, David Lerner Associates., David Lerner, John Dempsey, Martin Lerner, William Campbell
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Cecilia B. Loving, John N. Polakas, Arnold Wagner
Hearing Site: New York, NY
| | Expungement |
| 13-01387 | 08/19/2014 | Claimant(s): Daniel Cohen, Daniel L. Cohen 1980 Irrevocable Trust
Claimant Lawyers(s): James L. Parks, Thomas J. Meagher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Eric A. Herzog, Michael G. Shannon, Trae D. Meyr
Arbitrator(s): Kenneth E. Owen, W. Alex King, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
| 12-02943 | 05/28/2014 | Claimant(s): Alfred and Frances Woods
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Richard W. Vallario, Joseph J. Arata, John Carl Cirincion
Hearing Site: New York, NY
| | Expungement |
| 12-02598 | 01/17/2014 | Claimant(s): Herbert Harbort
Claimant Lawyers(s): David Neuman
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Robert Youdelman
Hearing Site: New York, NY
| | Expungement |
| 11-04361 | 07/16/2013 | Claimant(s): Concetta Consales
Claimant Lawyers(s): David Neuman
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Leslie Ruth Nydick
Hearing Site: Newark, NJ
| | Expungement |
| 11-00298 | 04/24/2012 | Claimant(s): Marshall Caro, Indii.com USE
Claimant Lawyers(s): Marshall Caro
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): William G. Binckes, Harold I. Geringer, Richard Bemporad
Hearing Site: New York, NY
| | $0 |
| 10-01011 | 11/14/2011 | Claimant(s): Alyssa DiRienzo, Amara DiRienzo, Cynthia Pilot, Deborah Holstein, Deborah Lutz, Frederick DiRienzo, Johanna C. & Frederick H. DiRienzo, The 1992 Irrevocable Trust for the Benef
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Colin Cookson, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., National Financial Services LLC
Respondent Lawyers(s): Mark S. Cohen, Michael G. Shannon, Nicki Samson
Arbitrator(s): Evonne W.J. Tolbert, Alun Hywel Jones, Kevin B. Naughten
Hearing Site: New York, NY
| | $0 |
| 09-05172 | 11/16/2010 | Claimant(s): National Financial Services.
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): John Stroud, Stroud Capital Fund, Stroud Capital GP, Stroud Capital Management LLC
Respondent Lawyers(s): David Stroud
Arbitrator(s): Douglas F. Stone, Susan Mills Richmond, Clarence Smith
Hearing Site: New York, NY
| | $0 |
