| 22-01249 | 12/20/2022 | Claimant(s): Stanley Cooper
Claimant Lawyers(s): Denis Dice
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jim Geiger, Alan J. Blocher, Thomas R Nathan
Hearing Site: Philadelphia, PA
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| 19-00446 | 06/26/2020 | Claimant(s): Alan Gottlob
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Private Consulting Group.
Respondent Lawyers(s): Robert L. Keys
Arbitrator(s): Alan J. Blocher, Gordon M. Wase, Robert E. Anderson
Hearing Site: Wilmington, DE
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| 14-02590 | 08/04/2015 | Claimant(s): Herman Farber
Claimant Lawyers(s): Herman Farber
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher C. Coss
Arbitrator(s): Walter J. Schwenk, Alan J. Blocher, Edward Charles Mengel
Hearing Site: Philadelphia, PA
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| 13-00267 | 12/30/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David Belcher
Respondent(s): Timothy Trifeletti
Respondent Lawyers(s): Timothy Trifeletti
Arbitrator(s): Alan J. Blocher, Noel B. Berman, John James McGovern
Hearing Site: Philadelphia, PA
| | |
| 09-00285 | 04/24/2014 | Claimant(s): Mark Singer
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira Rosenstein
Arbitrator(s): Guillermo L. Bosch, Stephen T. Mayhew, Alan J. Blocher
Hearing Site: Philadelphia, PA
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| 13-01234 | 01/09/2014 | Claimant(s): Yolanda Blount
Claimant Lawyers(s): Yolanda Fae Blount
Respondent(s): NYLife Securities LLC, NYLife Insurance Company of Arizona, New York Life Insurance & Annuity Corp., New York Life Insurance Company
Respondent Lawyers(s): Paul C. Evans
Arbitrator(s): Alan J. Blocher, Peter A. Scarpato, Timothy James Potero
Hearing Site: Philadelphia, PA
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| 10-02871 | 07/06/2011 | Claimant(s): Greg Kipple
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Alan J. Blocher, Ronald P. Wertheim, Jason Thomas Laird
Hearing Site: Philadelphia, PA
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| 10-04231 | 03/14/2011 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Michelle Young
Respondent(s): James R. McGonigle & Kathleen C. McGonig
Respondent Lawyers(s): James R. McGonigle
Arbitrator(s): Alan J. Blocher, Caryl S. Bernstein, Edward T. Moody
Hearing Site: Wilmington, DE
| | Stipulated Award |
| 06-04100 | 09/24/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): RBC Dain Rauscher., Scott Karpiak
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Alan J. Blocher, Catherine S. Kopley, Elena P. Anastasiou
Hearing Site: Philadelphia, PA
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