Alan A. Sachs

Arbitration Experience

Has served as an arbitrator in over 70 arbitrations, involving a wide range of issues and industries, including the following:

Panel Chair

  • Dispute involving over $100 million in claims and counterclaims regarding the financing and operation of a limited partnership created to develop and sell a new software system for the aviation industry
  • Claims by the non-managing members of an oil exploration and production company against its two managing members, alleging that the latter improperly expended company funds for their personal benefit through a variety of incentive compensation programs
  • Claim by purchasers of securities for over $11 million in damages based on alleged untrue statements and omissions in the offering documents
  • Claim by artist management company for compensation due as a result of corporate client’s breach of agreed terms of marketing and sales program
  • Dispute regarding post-closing adjustment of purchase price under an acquisition agreement
  • Claim by hospital against managed care company for failure to pay amounts due for pharmacy and diagnostic services rendered by hospital

Panel Member

  • Dispute between finance company and its corporate client involving over $30 million in claims pertaining to financial and accounting matters under a credit card program
  • Dispute regarding responsibility for excess inventory under a supply contract
  • Dispute between public company and two former executives involving a total of over $100 million in claims by the executives for severance payments and other amounts owing under executive compensation plans and counterclaims by the company for breach of fiduciary duty and self-dealing
  • Dispute regarding breach of partnership agreement

Sole Arbitrator

  • Claim by former owners of large insurance agency alleging that the President of the company, together with their long-time business advisor, caused the company to be sold at below fair value in order to obtain certain personal benefits; claimants asserted causes of action for breach of fiduciary duty, conspiracy, unjust enrichment, fraud and violation of the state’s Securities Act
  • Multimillion dollar antitrust claim against a manufacturer relating to its termination of a dealership for refusing to agree with other dealerships to fix prices
  • Dispute among former members of a limited liability company involving claims of fraud, conspiracy, breach of fiduciary duty and breach of contract
  • Claim by franchisor against franchisee for failure to pay license fees and other alleged breaches of franchise agreement
  • Claim by former employee of retaliatory discharge for filing workers compensation claim
  • Claim by service provider against client for failure to pay amounts owing under agreement for real estate tax review
  • Dispute regarding interpretation of CPI escalation clause in contract
  • Breach of contract claim by purchaser of equipment for failure to make timely delivery
  • Claim by purchaser that products shipped to it were defective, with counterclaim by seller for non-payment
  • Claim for damages resulting from improper foreclosure on commercial real estate
  • Claim by landlord against commercial tenant for breach of lease
  • Claim by service provider for non-payment of invoices and counterclaim by client for negligent performance under an agreement for billing and collection of customer accounts
  • Claim by former executive against corporate employer for failure to pay amounts allegedly owed under incentive compensation plan
  • Claim by former general partners of a partnership against the partnership and the remaining partners for various breaches of the agreement pursuant to which claimants sold their interests in the partnership
  • Dispute among members of a limited liability company regarding the company’s accounts
  • Claim by bank against debtor and guarantor for non-payment of promissory notes


  • Approximately 30 other arbitrations, administered by FINRA. Most of these consisted of claims by customers against their brokers. Others included a claim by a former employee of a securities firm for improper termination, a claim by a company against a former employee for breach of his employment and non-disclosure agreements, and a claim by one brokerage firm against another for tortious interference.

© 2011 Alan A. Sachs