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STERN v. PRUDENTIAL FINANCIAL, INC.

836 A.2d 953 (2003)

David E. STERN, Appellant, v. PRUDENTIAL FINANCIAL, INC. d/b/a Prudential Securities, Inc. and Kenneth Cohen, Appellees.

Superior Court of Pennsylvania.

Filed November 12, 2003.

Attorney(s) appearing for the Case

David E. Stern, appellant, pro se.

Marianne Johnston, Cherry Hill, NJ, for appellee.

BEFORE: STEVENS, KLEIN, JJ., and McEWEN, P.J.E.

OPINION BY KLEIN, J.:

¶ 1 David E. Stern filed a complaint against his broker, Prudential Financial Inc., and its claimed agent, Kenneth Cohen, essentially alleging that they engaged in negligent and improper dealing in managing his account. Prudential filed preliminary objections, asserting that the complaint should be dismissed because of an arbitration provision in the parties' "Command Client Agreement." In response, Stern claimed, among other things, that...

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