| 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 |
| 13-00169 | 01/06/2014 | Claimant(s): Julia Pordon, Leo Pordon, Julia M. Pordon on Behalf of Her IRA, Leo Pordon on Behalf of His IRA
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): John M. Eadie, Joseph L. Bernstein, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-00420 | 02/06/2013 | Claimant(s): Joseph Kowalski
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): William F. Glaser, Richard R. Logsdon, Robert Lewis Matthews
Hearing Site: Tampa, FL
| | Expungement |
| 11-00374 | 03/15/2012 | Claimant(s): Norma Wawrzyniak
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | Expungement |
| 10-02145 | 01/26/2012 | Claimant(s): Rosemary Vana
Claimant Lawyers(s): Sandor L. Grossman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Mark C. Hutchinson, Susanne J. Hollander, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | Expungement |
| 09-03317 | 07/26/2010 | Claimant(s): Barbara Hager, Robert Hager, Robert J. Hager and Barbara R. Hager
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Ronald H. Walton, Frank Brenner, Elizabeth A. Townes
Hearing Site: Tampa, FL
| | $0 |
