# Alan Neil Bloch

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/33129

## Record

- **Judge:** Alan Neil Bloch
- **Year:** 2020
- **Pages:** 41

## Text

Philadelphia PA Gas Works Bond (12th Series) — Interest — Redeemed
Coatesville PA Area School District Bond — Interest — Redeemed
TransCanada TR Co. Bond — Interest — Buy
TransCanada TR Co. Bond — Sold (part)
TransCanada TR Co. Bond — Sold (part)
TransCanada TR Co. Bond — Sold
Interest-PNC Bank- Checking; Virginia Manor Shops, Pgh. — Interest
Gabelli Equity Trust — Dividend — Buy (add'l)
AMG Funds (Yacktman Focused Funds) Class I — Dividend
Columbia Dividend Inc. Fund Instit. Class — Dividend
Federated Funds (Federated MDT Mid Cap Growth Fund - CL IS) — Dividend
Fenimore Asset Mgmt. TR (Fam. Dividend Focused Fund) — Dividend
First Eagle Funds (First Eagle Global - Class I) — Dividend
Wasatch Funds (Small Cap Value Fund - Institutional Class I) — Dividend
Parnassus Income (Core Equity Fund - Instit. Class Shares) — Dividend
Pimco Invt. Grade Credit Bond Fund Inst. — Dividend
Legg Mason Funds (Clearbridge Large Cap Growth Fund - Class I) — Dividend — Sold (part)
Legg Mason Funds (Clearbridge Large Cap Growth Fund - Class I) — Sold (part)
Legg Mason Funds (Clearbridge Large Cap Growth Fund - Class I) — Sold (part)
AIG Focused Dividend Strat. Fund CL W — Dividend
Value Line Asset Allocation Fund (INC Class - Instit.) — Dividend — Sold (part)
Eaton Vance Tax Adv. Div. Inome. Fund — Dividend — Buy
Eaton Vance Tax Adv. Div. Inome. Fund — Sold
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Dividend — Buy
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Buy (add'l)
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Buy (add'l)
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Buy (add'l)
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Buy (add'l)
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Buy (add'l)
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Buy (add'l)
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Sold (part)
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Buy (add'l)
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Buy (add'l)
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Sold (part)
Cohen & Steers PFD Secs. and Inc. FD Inc. CL SMA — Sold (part)
(Lines 37-612 are common stock unless otherwise noted)
Abbvie Inc. — Dividend
AT&T Inc. — Dividend — Sold
Exxon Mobile Corp. XOM (Margin) — Dividend — Sold
American Electric. 6.125% PFD — Dividend — Buy
Essential Utils. Inc./Aqua America Inc. 6% PFD — Dividend
AT&T Inc. 5.625% PFD (unsecured) — Dividend
Becton Dickinson 6.125% PFD (Series A) — Dividend — Sold
Becton Dickinson 6% PFD (Series B) — Dividend — Buy
Broadcom Inc. 8% PFD (Series A) — Dividend — Buy
Capital One FIN 6% PFD (Series H) — Dividend — Buy
Crown Castle 6.875% PFD (Series A) — Dividend — Sold
Dominion Energy Inc. PFD (Series A) — Dividend
Ebay Inc. 6% PFD — Dividend
Energizer Holdings Inc. 7.5% PFD (Series A) — Dividend — Sold
GMAC Cap. Trust I PFD (Series 2) — Dividend — Buy
Goldman Sachs FLT RT Non-Cum PFD — Dividend — Buy
Int'l Flavors & Fragrances PFD — Dividend — Sold (part)
Int'l Flavors & Fragrances PFD — Buy (add'l)
KKR & Co. Inc. 6% PFD (Series C) — Dividend — Buy
Nextera Energy 6.219% PFD — Dividend — Buy
PNC Fin. Svs. 5.375% PFD (Series Q) — Dividend — Redeemed
Qwest Corp. 6.625% PFD — Dividend — Redeemed (part)
Qwest Corp. 6.625% PFD — Redeemed
Southern Corp. 6.75% PFD (Series A) — Dividend — Buy
Southern Corp. 6.75% PFD (Series A) — Buy (add'l)
Stanley Black & Decker 5.25% PFD — Dividend — Buy (add'l)
US Bancorp 5.15% PFD (Series H) — Dividend — Sold
Abbvie Inc. — Dividend — Sold
Altria Group, Inc. — Dividend — Sold (part)
Altria Group, Inc. — Sold
AIG — Dividend — Buy (add'l)
AIG — Sold
AIG — Buy
AIG — Buy (add'l)
AmCorp — Dividend — Sold
American Tower Corp. REIT — Dividend — Buy (add'l)
American Tower Corp. REIT — Sold (part)
American Tower Corp. REIT — Buy (add'l)
AmGen Inc. — Dividend — Sold (part)
AmGen Inc. — Sold
Analog Devices Inc. — Dividend
Anheuser-Busch Imbev. — Dividend — Buy (add'l)
Anheuser-Busch Imbev. — Sold (part)
Anheuser-Busch Imbev. — Sold (part)
Anheuser-Busch Imbev. — Sold (part)
Anheuser-Busch Imbev. — Sold (part)
Anheuser-Busch Imbev. — Sold
Apollo Global Mgmt. - Class A — Dividend — Buy (add'l)
Apollo Global Mgmt. - Class A — Buy (add'l)
Apple Inc. — Dividend
Ares Capital Corp. — Dividend
AT&T Inc. — Dividend — Sold
Bank of America Corp. — Dividend — Buy (add'l)
Bank of America Corp. — Sold (part)
Bank of America Corp. — Sold (part)
BCE Inc. — Dividend — Sold
Becton Dickinson & Co. — Dividend — Buy
Becton Dickinson & Co. — Buy (add'l)
Becton Dickinson & Co. — Buy (add'l)
Becton Dickinson & Co. — Buy (add'l)
Becton Dickinson & Co. — Buy (add'l)
Becton Dickinson & Co. — Buy (add'l)
Blackstone Group Inc. Class A — Dividend
Boston Properties Inc. REIT — Dividend — Buy
Boston Properties Inc. REIT — Buy (add'l)
Boston Properties Inc. REIT — Buy (add'l)
Boston Properties Inc. REIT — Buy (add'l)
BP PLC — Dividend — Sold
British American. Tob. — Dividend — Sold
Broadcom Inc. — Dividend — Buy
Broadcom Inc. — Buy (add'l)
Broadcom Inc. — Buy (add'l)
Broadcom Inc. — Buy (add'l)
Broadridge Fin. Solutions — Dividend
CDN Imperial Bank — Dividend — Sold
Charles Schwab 5.95% PFD (Series D) — Dividend — Buy
Charles Schwab 5.95% PFD (Series D) — Sold
Carnival Corp. — Dividend — Buy
Carnival Corp. — Sold
Carrier Global Corp. — Dividend — Buy
Carrier Global Corp. — Sold (part)
Carrier Global Corp. — Sold (part)
Carrier Global Corp. — Sold
Chevron Corp. — Dividend — Buy (add'l)
Chevron Corp. — Sold (part)
Chevron Corp. — Sold
Chevron Corp. — Buy
Chubb Ltd. — Dividend
Cisco Systems — Dividend — Buy (add'l)
Cisco Systems — Buy (add'l)
Cisco Systems — Sold (part)
Cisco Systems — Sold (part)
Cisco Systems — Sold
Cisco Systems — Buy
Cisco Systems — Sold
Cisco Systems — Buy
Coca-Cola Co. — Dividend — Sold (part)
Coca-Cola Co. — Sold (part)
Coca-Cola Co. — Buy (add'l)
Colgate-Palmolive Co. — Dividend — Buy
Comcast Corp. New CL A — Dividend
DIAGEO PLC — Dividend
Digital Realty Trust Inc. — Dividend
Walt Disney Co. — Dividend — Sold (part)
Walt Disney Co. — Sold (part)
Dominion Energy. Inc. — Dividend — Sold (part)
Dominion Energy. Inc. — Sold
Dow Inc. — Dividend — Buy (add'l)
Dow Inc. — Sold (part)
Dow Inc. — Buy (add'l)
Duke Energy Corp. — Dividend — Sold
Ecolab Inc. — Dividend — Buy (add'l)
Ecolab Inc. — Buy (add'l)
Ecolab Inc. — Buy (add'l)
Ecolab Inc. — Buy (add'l)
Edison Int'l — Dividend — Buy (add'l)
Edison Int'l — Buy (add'l)
Edison Int'l — Buy (add'l)
Edison Int'l — Sold
Edison Int'l — Buy
Enbridge Inc. — Dividend — Sold (part)
Enbridge Inc. — Sold
Enbridge Inc. — Buy
Entergy Corp. New — Dividend
Exxon Mobile Corp. — Dividend — Buy
Exxon Mobile Corp. — Sold (part)
Exxon Mobile Corp. — Sold (part)
Exxon Mobile Corp. — Sold
Fastenal Co. — Dividend
FNF Group — Dividend — Buy (add'l)
Gilead Sciences Inc. — Dividend — Buy (add'l)
Gilead Sciences Inc. — Buy (add'l)
Gilead Sciences Inc. — Sold (part)
GlaxoSmithKline PLC — Dividend — Buy (add'l)
GlaxoSmithKline PLC — Sold
Graco Inc. — Dividend
Home Depot Inc. — Dividend — Sold (part)
Huntington Bancshares — Dividend — Sold (part)
Huntington Bancshares — Sold
Investco Ltd. — Dividend — Buy
Investco Ltd. — Sold
Intel Corp. — Dividend — Sold
International Paper Co. — Dividend — Buy (add'l)
International Paper Co. — Sold (part)
International Paper Co. — Sold (part)
I-Shares ETF (Core S&P) — Dividend — Sold
I-Shares ETF (Core S&P) — Buy
I-Shares ETF (Core S&P) — Sold
I-Shares Select ETF (Dividend Fund) — Dividend — Sold
Johnson & Johnson — Dividend — Buy (add'l)
Johnson & Johnson — Sold (part)
Kimberly-Clark Corp. — Dividend — Sold
Kinder Morgan Inc. — Dividend — Sold
Kinder Morgan Inc. — Buy
Kinder Morgan Inc. — Sold (part)
Kinder Morgan Inc. — Sold (part)
Kinder Morgan Inc. — Sold (part)
Kinder Morgan Inc. — Sold (part)
Kinder Morgan Inc. — Sold (part)
Linde PLC — Dividend
Lockheed Martin Corp. — Dividend
Lyondellbasell — Dividend — Sold (part)
Lyondellbasell — Sold
Mastercard Inc. Class A — Dividend — Sold (part)
McDonald's — Dividend — Sold (part)
McDonald's — Sold (part)
McDonald's — Sold (part)
McDonald's — Sold
Merck & Co. Inc. New — Dividend — Sold (part)
Merck & Co. Inc. New — Buy (add'l)
MetLife Inc. — Dividend — Sold
MetLife Inc. — Buy
MetLife Inc. — Buy (add'l)
Microsoft Corp. — Dividend — Buy (add'l)
Microsoft Corp. — Sold (part)
Microsoft Corp. — Sold (part)
Microsoft Corp. — Sold (part)
Mondelez Int'l — Dividend — Buy (add'l)
Mondelez Int'l — Buy (add'l)
National Grid PLC — Dividend — Sold
Nestle SA Reg. ADR — Dividend — Buy (add'l)
Nextera Energy Inc. — Dividend — Buy (add'l)
Nextera Energy Inc. — Sold (part)
Northern Trust Corp. — Dividend
Northrop Grumman Corp. — Dividend — Buy
Northrop Grumman Corp. — Buy (add'l)
Northrop Grumman Corp. — Buy (add'l)
NXP Semiconductors — Dividend — Sold
Occidental Pete Corp. — Dividend — Buy
Occidental Pete Corp. — Sold (part)
Occidental Pete Corp. — Sold
Oracle Corp. — Dividend — Buy
Oracle Corp. — Buy (add'l)
Oracle Corp. — Buy (add'l)
Oracle Corp. — Buy (add'l)
Otis Worldwide Corp. — Dividend — Buy
Otis Worldwide Corp. — Buy (add'l)
PPG Indus. Inc. — Dividend — Buy (add'l)
PPG Indus. Inc. — Sold (part)
Paychex Inc. — Dividend
Pepsico Inc. — Dividend — Sold (part)
Pfizer Inc. — Dividend — Buy (add'l)
Pfizer Inc. — Sold (part)
Pfizer Inc. — Buy (add'l)
Pfizer Inc. — Sold
Pfizer Inc. — Buy
Philip Morris Int'l — Dividend — Sold
PNC Fin. Srvs. — Dividend — Sold (part)
PNC Fin. Srvs. — Sold (part)
PNC Fin. Srvs. — Sold (part)
PNC Fin. Srvs. — Sold (part)
PNC Fin. Srvs. — Sold
PNC Fin. Srvs. — Buy
Polaris Inc. — Dividend — Buy (add'l)
PPL Corp. — Dividend — Sold
Procter & Gamble Co. — Dividend
Progressive Corp. Ohio — Dividend
Public Svc. Enterprise Group — Dividend — Buy
Public Svc. Enterprise Group — Buy (add'l)
Public Svc. Enterprise Group — Buy (add'l)
Public Svc. Enterprise Group — Buy (add'l)
Public Svc. Enterprise Group — Buy (add'l)
Public Svc. Enterprise Group — Buy (add'l)
Public Svc. Enterprise Group — Buy (add'l)
Public Svc. Enterprise Group — Buy (add'l)
Public Svc. Enterprise Group — Buy (add'l)
Rayonier Inc. — Dividend
Raytheon Co. — Dividend — Buy (add'l)
Raytheon Co. — Buy (add'l)
Raytheon Co. — Merged (with line 267)
Raytheon Technologies Corp. — Dividend — Open
Raytheon Technologies Corp. — Sold (part)
Raytheon Technologies Corp. — Sold
Raytheon Technologies Corp. — Buy
Realty Income Corp. — Dividend — Sold
Regions Fin. Corp. — Dividend — Sold
Royal Dutch Shell — Dividend — Sold
Sempra Energy — Dividend — Buy
Sempra Energy — Buy (add'l)
Sempra Energy — Buy (add'l)
Sempra Energy — Buy (add'l)
Sempra Energy — Buy (add'l)
SL Green Realty Corp. — Dividend — Sold
SL Green Realty Corp. — Buy
Snap On Inc. — Dividend — Buy
The Southern Co. — Dividend — Sold (part)
SPDR S&P 500 Trust — Dividend — Sold
SPDR S&P 500 Trust — Buy
SPDR S&P 500 Trust — Sold
Sysco Corp. — Dividend — Sold (part)
Sysco Corp. — Sold (part)
Sysco Corp. — Sold
TC Energy Corp. — Dividend — Sold
Texas Instruments Inc. — Dividend
Tiffany & Co. New — Dividend
Travelers Cos. — Dividend — Buy (add'l)
Travelers Cos. — Buy (add'l)
Travelers Cos. — Buy (add'l)
Travelers Cos. — Buy (add'l)
Unilever — Dividend — Buy
Unilever — Sold
Union Pacific Corp. — Dividend — Buy (add'l)
Union Pacific Corp. — Buy (add'l)
UPS — Dividend — Buy (add'l)
UPS — Sold (part)
UPS — Sold (part)
United Technologies Corp. — Dividend — Buy (add'l)
United Technologies Corp. — Distributed
United Health Group Inc. — Dividend — Buy (add'l)
US Bancorp New — Dividend — Buy (add'l)
US Bancorp New — Buy (add'l)
US Bancorp New — Sold (part)
US Bancorp New — Sold (part)
US Bancorp New — Sold
US Bancorp New — Buy
Ventas Inc. — Dividend — Sold
Verizon Communications — Dividend — Buy (add'l)
Verizon Communications — Sold (part)
Verizon Communications — Sold (part)
Viatris Inc. — Dividend — Buy
Viatris Inc. — Sold (part)
Visa Inc. Class A — Dividend — Buy (add'l)
Vodaphone Group PLC New — Dividend — Buy
Vodaphone Group PLC New — Sold
Vulcan Materials — Dividend — Buy (add'l)
Waste Management Inc. DEL — Dividend — Buy (add'l)
WEC Energy Group Inc. — Dividend
Wells Fargo & Co. New — Dividend — Buy (add'l)
Wells Fargo & Co. New — Sold (part)
Wells Fargo & Co. New — Sold
Welltower Inc. — Dividend — Sold
Weyerhaeuser Co. — Dividend
Williams Cos. — Dividend — Buy (add'l)
Williams Cos. — Buy (add'l)
Williams Cos. — Sold (part)
Williams Cos. — Sold
Williams Cos. — Buy
Zoetis Inc. Class A — Dividend — Sold (part)
3M Co. — Dividend — Buy (add'l)
3M Co. — Sold (part)
3M Co. — Sold (part)
3M Co. — Sold (part)
Aegon Funding Co. 5.1% PFD — Dividend — Buy
Aegon Funding Co. 5.1% PFD — Buy (add'l)
Aegon Funding Co. 5.1% PFD — Buy (add'l)
Affil. Mgr. Grp. 4.75% PFD — Dividend — Buy
Affil. Mgr. Grp. 4.75% PFD — Buy (add'l)
AIG PRD 5.85% PFD (Series A) — Dividend — Buy
AIG PRD 5.85% PFD (Series A) — Sold (part)
AIG PRD 5.85% PFD (Series A) — Sold (part)
Algonquin Power 6.875% PFD — Dividend — Buy
Algonquin Power 6.875% PFD — Buy (add'l)
Allstate Corp. 5.1% PFD (Series H) — Dividend — Buy
Allstate Corp. 5.1% PFD (Series H) — Buy (add'l)
Allstate Corp. 5.1% PFD (Series H) — Sold (part)
American Finl. 5.875% PFD — Dividend — Buy
American Finl. 5.875% PFD — Buy (add'l)
American Finl. 5.875% PFD — Buy (add'l)
American Homes 4 Rent 6.35% PFD (Series E) — Dividend — Buy
American Homes 4 Rent 6.35% PFD (Series E) — Buy (add'l)
American Homes 4 Rent 6.5% PFD (Series D) — Dividend — Buy
Arch Cap. Group 5.25% PFD — Dividend — Buy
Ares Mgmt. Group 7% PFD (Series A) — Dividend — Buy
AT&T Inc. 5.625% PFD (Unsecured) — Dividend — Buy
AT&T Inc. 5.625% PFD (Unsecured) — Sold (part)
AT&T Inc. 5.625% PFD (Unsecured) — Sold (part)
AT&T Inc. 5% PFD Perp. — Dividend — Buy
Athene Holdings 6.35% PFD — Dividend — Buy
Athene Holdings 6.35% PFD — Buy (add'l)
Athene Holdings 6.35% PFD — Sold (part)
Athene Holding 6.375% PFD Fixed FLT — Dividend — Buy
AXIS Cap. Holdings LTD. 5.5% PFD — Dividend — Buy
AXIS Cap. Holdings LTD. 5.5% PFD — Buy (add'l)
Bank of America Corp. 5% PFD Perp. — Dividend — Buy
Bank of America Corp. 5% PFD Perp. — Buy (add'l)
Bank of America 6% PFD Perp. — Dividend — Buy
Bank of America 6% PFD Perp. — Sold (part)
Bank of America 6% PFD Perp. — Sold (part)
Bank of America 6% PFD Perp. — Sold (part)
Bank of America 6% PFD Perp. — Sold (part)
Bank of America 6% PFD Perp. — Sold (part)
Bank of America 6% PFD Perp. — Sold (part)
Bank of America 6% PFD (Series EE) — Dividend — Buy
Bank of America 6% PFD (Series EE) — Sold (part)
Bank of America 6% PFD (Series EE) — Sold (part)
Bank of America 6% PFD (Series EE) — Sold (part)
Bank of America 6% PFD (Series EE) — Sold
Bank of America 6.2% PFD (Series CC) — Dividend — Buy
Bank of America 6.2% PFD (Series CC) — Sold
Berkley WR Corp. 5.7% PFD — Dividend — Buy
Berkley WR Corp. 5.7% PFD — Sold (part)
Berkley WR Corp. 5.7% PFD — Buy (add'l)
Berkley WR Corp. 5.7% PFD — Buy (add'l)
Berkley WR Corp. 5.7% PFD — Sold (part)
Berkley WR Corp. 5.7% PFD — Sold (part)
Brighthouse Fin. 5.375% PFD (Series C) — Dividend — Buy
Brighthouse Fin. 5.375% PFD (Series C) — Buy (add'l)
Brookfield 4.625% PFD — Dividend — Buy
Brookfield 4.625% PFD — Buy (add'l)
Capital One Fin. 6% PFD (Series H) — Dividend — Buy
Capital One Fin. 6% PFD (Series H) — Sold
CHS Inc. 7.5% PFD Cum. Perp. — Dividend — Buy
CHS Inc. 7.5% PFD Cum. Perp. — Sold (part)
CHS Inc. 7.5% PFD Cum. Perp. — Sold (part)
CHS Inc. 7.5% PFD Cum. Perp. — Sold (part)
CHS Inc. Var. PFD Fixed FLT (Series 2) Cum — Dividend — Buy
CHS Inc. Var. PFD Fixed FLT (Series 2) Cum — Sold (part)
CHS Inc. Var. PFD Fixed FLT (Series 2) Cum — Sold
Citizens Finl. 6.35% PFD Non-Cum FTF Perp. — Dividend — Buy
Citizens Finl. 6.35% PFD Non-Cum FTF Perp. — Sold (part)
Citizens Finl. 6.35% PFD Non-Cum FTF Perp. — Sold (part)
Citizens Finl. 6.35% PFD Non-Cum FTF Perp. — Sold (part)
Citizens Finl. 6.35% PFD Non-Cum FTF Perp. — Sold
CMS Energy 5.875% PFD — Dividend — Buy
CMS Energy 5.875% PFD — Buy (add'l)
CMS Energy 5.875% PFD — Sold (part)
CMS Energy 5.875% PFD — Sold (part)
CMS Energy 5.875% PFD — Buy (add'l)
Citigroup Inc. 6.3% PFD (Series S) — Dividend — Buy
Citigroup Inc. 6.3% PFD (Series S) — Sold
Citigroup Inc. Var. PFD (Series K) — Dividend — Buy
Citigroup Inc. Var. PFD (Series K) — Sold
Citigroup Inc. Perpetual PFD Fixed FLT Bonds — Dividend — Buy
Citigroup Inc. Perpetual PFD Fixed FLT Bonds — Sold
Citigroup Var. 7.125% PFD Fixed FLT Non-Cum Perp. — Dividend — Buy
Citigroup Var. 7.125% PFD Fixed FLT Non-Cum Perp. — Sold
Digital Realty 6.625% PFD TR INC C Cum Perp. — Dividend — Buy
Digital Realty 6.625% PFD TR INC C Cum Perp. — Sold
Duke Energy 5.75% PFD (Series A) — Dividend — Buy
Duke Energy 5.75% PFD (Series A) — Sold (part)
Duke Energy 5.75% PFD (Series A) — Sold (part)
Duke Energy 5.75% PFD (Series A) — Sold (part)
Duke Energy 5.75% PFD (Series A) — Sold (part)
Duke Energy 5.75% PFD (Series A) — Sold (part)
Duke Energy 5.75% PFD (Series A) — Sold (part)
Enbridge Inc. 6.375% PFD — Dividend — Buy
Enbridge Inc. 6.375% PFD — Sold (part)
Enbridge Inc. 6.375% PFD — Sold (part)
Enbridge Inc. 6.375% PFD — Sold (part)
Enbridge Inc. 6.375% PFD — Sold (part)
Enbridge Inc. 6.375% PFD — Sold (part)
Enbridge Inc. 6.375% PFD — Sold (part)
First Republic Bank 4.7% PFD — Dividend — Buy
First Republic Bank 4.125% PFD (Series K) — Dividend — Buy
Ford Motor Co. 6.2% PFD — Dividend — Buy
Ford Motor Co. 6.2% PFD — Buy (add'l)
Ford Motor Co. 6.2% PFD — Sold
GMAC Cap. Trust I (Series 2) — Dividend — Buy
GMAC Cap. Trust I (Series 2) — Sold (part)
GMAC Cap. Trust I (Series 2) — Buy (add'l)
GMAC Cap. Trust I (Series 2) — Buy (add'l)
Goldman Sachs Var. PFD (Series J) — Dividend — Buy
Goldman Sachs Var. PFD (Series J) — Buy (add'l)
Goldman Sachs Var. PFD (Series J) — Sold (part)
Hanover Ins. Group 6.35% PFD — Dividend — Buy
Hanover Ins. Group 6.35% PFD — Sold (part)
Hanover Ins. Group 6.35% PFD — Sold
Huntington Bancshs. 6.25% PFD (Series D) — Dividend — Buy
Huntington Bancshs. 6.25% PFD (Series D) — Sold
Integrys Energy 6% PFD Fixed FLT — Dividend — Buy
Integrys Energy 6% PFD Fixed FLT — Sold
JP Morgan 5.75 % PFD (Series DD) — Dividend — Buy
JP Morgan 5.75 % PFD (Series DD) — Buy (add'l)
JP Morgan 6% PFD (Series EE) — Dividend — Buy
JP Morgan 6% PFD (Series EE) — Sold (part)
JP Morgan 6.15% PFD (Series BB) — Dividend — Buy
JP Morgan 6.15% PFD (Series BB) — Sold
JP Morgan 6.125% PFD Perp. — Dividend — Buy
JP Morgan 6.125% PFD Perp. — Redeemed
KeyCorp 5.65% PFD — Dividend — Buy
KeyCorp 5.65% PFD — Buy (add'l)
KeyCorp 5.65% PFD — Sold (part)
KeyCorp 5.65% PFD — Sold (part)
Legg Mason 5.45% PFD — Dividend — Buy
Monmouth REIT 6.125% PFD (Series C) — Dividend — Buy
Monmouth REIT 6.125% PFD (Series C) — Buy (add'l)
Morgan Stanley Var. PFD Fixed FLT (Series F) — Dividend — Buy
Morgan Stanley 5.85% PFD (Series K) — Dividend — Buy
Morgan Stanley 5.85% PFD (Series K) — Sold (part)
Morgan Stanley 5.85% PFD (Series K) — Sold (part)
Morgan Stanley 6.375% PFD (Series I) — Dividend — Buy
Morgan Stanley 6.375% PFD (Series I) — Sold (part)
Morgan Stanley 6.375% PFD (Series I) — Sold (part)
Morgan Stanley 6.375% PFD (Series I) — Buy (add'l)
Morgan Stanley 6.375% PFD (Series I) — Sold (part)
Morgan Stanley 6.375% PFD (Series I) — Sold (part)
Morgan Stanley 6.375% PFD (Series I) — Sold (part)
Morgan Stanley 6.375% PFD (Series I) — Sold (part)
Morgan Stanley 6.375% PFD (Series I) — Sold (part)
National Retail 5.2% PFD (Series F) — Dividend — Buy
National Retail 5.2% PFD (Series F) — Sold (part)
National Storage 6% PFD (Series A) — Dividend — Buy
National Storage 6% PFD (Series A) — Buy (add'l)
New York Comm. Bancorp. (Series A) PFD — Dividend — Buy
New York Comm. Bancorp. (Series A) PFD — Sold (part)
New York Comm. Bancorp. (Series A) PFD — Sold (part)
Nextera 5.65% PFD — Dividend — Buy
Nextera 5.65% PFD — Sold (part)
Nextera 5.65% PFD — Sold (part)
Nextera 5.65% PFD — Sold (part)
Nisource Inc. 6.5% PFD — Dividend — Buy
Nisource Inc. 6.5% PFD — Sold (part)
Nisource Inc. 6.5% PFD — Sold (part)
Nisource Inc. 6.5% PFD — Sold (part)
Partnerre Ltd. 5.875% PFD (Series I) — Dividend — Buy
Partnerre Ltd. 5.875% PFD (Series I) — Sold (part)
Partnerre Ltd. 5.875% PFD (Series I) — Sold
Partnerre Ltd. 6.5% PFD (Series G) — Dividend — Buy
Partnerre Ltd. 6.5% PFD (Series G) — Buy (add'l)
Partnerre Ltd. 6.5% PFD (Series G) — Buy (add'l)
PS Bus Parks 5.2% PFD (Series W) — Dividend — Buy
PS Bus Parks 5.2% PFD (Series W) — Buy (add'l)
Public STG 4.625% PFD (Series L) — Dividend — Buy
Regions Fin. Corp. 5.7% PFD Fixed FLT — Dividend — Buy
Regions Fin. Corp. 5.7% PFD Fixed FLT — Sold (part)
Regions Fin. Corp. 5.7% PFD Fixed FLT — Sold (part)
Regions Fin. Corp. 5.7% PFD Fixed FLT — Buy (add'l)
Regions Fin. Corp. 5.7% PFD Fixed FLT — Buy (add'l)
Regions Fin. Corp. 5.7% PFD Fixed FLT — Buy (add'l)
Regions Fin. Corp. 5.7% PFD Fixed FLT — Buy (add'l)
Regions Fin. Corp. 5.7% PFD Fixed FLT — Sold (part)
Regions Finl. Ver. PFD (Series B) — Dividend — Buy
Regions Finl. Ver. PFD (Series B) — Sold (part)
Regions Finl. Ver. PFD (Series B) — Buy (add'l)
Regions Finl. Ver. PFD (Series B) — Sold (part)
Regions Finl. Ver. PFD (Series B) — Sold (part)
Regions Finl. Ver. PFD (Series B) — Sold (part)
Regions Finl. Ver. PFD (Series B) — Sold (part)
Reinsurance Group Amer. 6.2% PFD Fixed FLT — Dividend — Buy
Reinsurance Group Amer. 6.2% PFD Fixed FLT — Sold (part)
Reinsurance Group Amer. 6.2% PFD Fixed FLT — Buy (add'l)
Reinsurance Group Amer. 6.2% PFD Fixed FLT — Buy (add'l)
Reinsurance Group Amer. 6.2% PFD Fixed FLT — Buy (add'l)
Reinsurance Group Amer. 6.2% PFD Fixed FLT — Buy (add'l)
Reinsurance Grp. Amer. PFD Fixed FLT — Dividend — Buy
Reinsurance Grp. Amer. PFD Fixed FLT — Buy (add'l)
Reinsurance Grp. Amer. PFD Fixed FLT — Buy (add'l)
Reinsurance Grp. Amer. PFD Fixed FLT — Buy (add'l)
Reinsurance Grp. Amer. PFD Fixed FLT — Sold (part)
Reinsurance Grp. Amer. PFD Fixed FLT — Sold (part)
Sempra Energy 5.75% PFD — Dividend — Buy
Sempra Energy 5.75% PFD — Buy (add'l)
Signature Bank NY 5% PFD (Series A) — Dividend — Buy
Signature Bank NY 5% PFD (Series A) — Buy (add'l)
Signature Bank NY 5% PFD (Series A) — Buy (add'l)
Site Ctrs. Corp. 6.375% PFD (Class A) — Dividend — Buy
Southern Co. 4.2% PFD — Dividend — Buy
Southern Co. 4.2% PFD — Buy (add'l)
Southern Co. 4.95% PFD — Dividend — Buy
Southern Co. 4.95% PFD — Buy (add'l)
Southern Co. 4.95% PFD — Buy (add'l)
Southern Co. 4.95% PFD — Buy (add'l)
Southern Co. 5.25% PFD — Dividend — Buy
Spire Inc. 5.9% PFD (Series A) — Dividend — Buy
Spire Inc. 5.9% PFD (Series A) — Buy (add'l)
Spirit Realty 6% PFD (Series A) — Dividend — Buy
Spirit Realty 6% PFD (Series A) — Buy (add'l)
State Street Corp. Varied.PFD (Series D) — Dividend — Buy
State Street Corp. Varied.PFD (Series D) — Sold (part)
State Street Corp. Varied.PFD (Series D) — Buy (add'l)
State Street Corp. Varied.PFD (Series D) — Sold (part)
State Street Corp. Varied.PFD (Series D) — Sold (part)
Sterling Bancorp. 6.5% PFD — Dividend — Buy
Sunstone Hotels 6.95% PFD (Series E) — Dividend — Buy
Synchrony Fin. 5.625% PFD — Dividend — Buy
Synchrony Fin. 5.625% PFD — Buy (add'l)
Synchrony Fin. 5.625% PFD — Buy (add'l)
Synchrony Fin. 5.625% PFD — Buy (add'l)
Synovus Finl. Corp. 5.875% PFD — Dividend — Buy
Synovus Finl. Corp. 5.875% PFD — Sold (part)
Synovus Finl. Corp. 5.875% PFD — Sold (part)
Truist Finl. 4.75% PFD — Dividend — Buy
Truist Finl. 4.75% PFD — Buy (add'l)
Truist Finl. 4.75% PFD — Buy (add'l)
Truist Finl. 5.25% PFD — Dividend — Buy
Unum Group 6.25% PFD — Dividend — Buy
Unum Group 6.25% PFD — Sold (part)
Unum Group 6.25% PFD — Sold (part)
Unum Group 6.25% PFD — Sold (part)
Unum Group 6.25% PFD — Sold (part)
Unum Group 6.25% PFD — Sold
US Bancorp. Del. PFD (Series B) — Dividend — Buy
US Bancorp. Del. PFD (Series B) — Buy (add'l)
US Cellular 5.5% PFD — Dividend — Buy
US Cellular 6.25% PFD — Dividend — Buy
Vereit Inc. 6.7% PFD (Series F) — Dividend — Buy
Vereit Inc. 6.7% PFD (Series F) — Sold (part)
Vereit Inc. 6.7% PFD (Series F) — Redeemed (part)
Vereit Inc. 6.7% PFD (Series F) — Redeemed (part)
Voya Fin. Inc. 5.35% PFD — Dividend — Buy
Voya Fin. Inc. 5.35% PFD — Sold (part)
Voya Fin. Inc. 5.35% PFD — Sold (part)
Voya Fin. Inc. 5.35% PFD — Sold (part)
Voya Fin. Inc. 5.35% PFD — Sold (part)
Voya Fin. Inc. 5.35% PFD — Sold (part)
Voya Fin. Inc. 5.35% PFD — Sold (part)
Wells Fargo & Co. 6% PFD Perp. Mat. — Dividend — Buy
Wells Fargo & Co. 6% PFD Perp. Mat. — Sold
Wells Fargo & Co. 6% PFD Part. Call 9/15/19 — Dividend — Buy
Wells Fargo & Co. 6% PFD Part. Call 9/15/19 — Redeemed
Wells Fargo & Co. 6% PFD Non-Cum (Series V) — Dividend — Buy
Wells Fargo & Co. 6% PFD Non-Cum (Series V) — Sold (part)
Wells Fargo & Co. 6% PFD Non-Cum (Series V) — Sold
Wells Fargo & Co. 5.625% PFD (Series Y) — Dividend — Buy
Wells Fargo & Co. 5.625% PFD (Series Y) — Buy (add'l)
Wells Fargo & Co. 4.75% PFD (Series Z) — Dividend — Buy
Wells Fargo & Co. 4.75% PFD (Series Z) — Buy (add'l)
Wells Fargo & Co. 4.75% PFD (Series Z) — Buy (add'l)
Wells Fargo & Co. 4.75% PFD (Series Z) — Buy (add'l)
Wells Fargo & Co. 5.7% PFD (Series W) — Dividend — Buy
Wells Fargo & Co. 5.7% PFD (Series W) — Sold (part)
Wells Fargo Var. PFD Fixed FLT (call 9/15/23) — Dividend — Buy
Wells Fargo Var. PFD Fixed FLT (call 3/15/24) — Dividend — Buy
Wells Fargo & Co. 5.125% PFD (Series O) Non-Cum Class A — Dividend — Buy
Wells Fargo & Co. 5.125% PFD (Series O) Non-Cum Class A — Sold
WR Berkley Co. 5.75% PFD — Dividend — Buy
Member, Emeritus Board of Directors, Make-A-Wish Foundation of Western Pennsylvania (non-profit corporation)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/33129. Public record. Not legal advice.