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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17-02942 | 11/06/2019 | Claimant(s): Jerome Weiner, Sandra Weiner Claimant Lawyers(s): Jerome Weiner Respondent(s): Janney Montgomery Scott LLC Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Jim Geiger, Alan J. Blocher, Kathleen Jones Spilker Hearing Site: Philadelphia, PA
| | $0 |
14-02906 | 02/17/2016 | Claimant(s): Joanne Marano Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): David Sivel Respondent Lawyers(s): Joseph C. Korsak Arbitrator(s): Alan J. Blocher Hearing Site: Philadelphia, PA
| | $49,300 |
14-01407 | 02/01/2016 | Claimant(s): Paula Hian Claimant Lawyers(s): David P. Heim Respondent(s): Wells Fargo Advisors, Manuel Aponte Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Alan J. Blocher, Stephen J. Scherf, Laura Marini Davis Hearing Site: Philadelphia, PA
| | Expungement |
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
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13-00353 | 11/20/2014 | Claimant(s): Margaret Vasily Claimant Lawyers(s): Russell S. Burnside Respondent(s): Alexander Swanson, Horan Capital Management Respondent Lawyers(s): Brian Carlis, Howard E. Greenberg Arbitrator(s): Rafael A. Porrata-Doria, Alan J. Blocher, Kevin Joseph O'Malley Hearing Site: Philadelphia, PA
| | $479,116 |
14-00473 | 09/10/2014 | Claimant(s): Marshall Peters Claimant Lawyers(s): Marshall Peters Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Alan J. Blocher Hearing Site: Wilmington, DE
| | $300 |
12-04104 | 05/20/2014 | Claimant(s): William Ey Claimant Lawyers(s): Christopher C. Coss Respondent(s): Brian Allen, RBC Wealth Management Respondent Lawyers(s): Brian Joseph Allen, Dennis C. Dice Arbitrator(s): Alan J. Blocher, Kathleen K. Murphy, William J. Hirsch Hearing Site: Philadelphia, PA
| | Expungement |