23-00800 | 09/04/2024 | Claimant(s): Lin Ren Claimant Lawyers(s): Caleb Kruckenberg Respondent(s): Truist Investment Services., Yeoshen Tsui, Yu Tang Respondent Lawyers(s): Joseph C. Coates, III Arbitrator(s): Daniel J. Donovan, Larry E. Ray, Geoffrey A. Drucker Hearing Site: Baltimore, MD
| | Expungement |
23-00814 | 06/03/2024 | Claimant(s): Sherry Lautares Claimant Lawyers(s): Charles O'Rourke Respondent(s): Morgan Stanley, Mark Rosenberg Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): Gerald H. Grayson, Sonja Shuford, Alisa Matire Hearing Site: Boca Raton, FL
| | $0 |
22-02405 | 03/20/2024 | Claimant(s): Kwesi Buabeng Claimant Lawyers(s): Robert Savage Respondent(s): Morgan Stanley Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): Lawrence R. Mills, Mary Mackey, Anna Arcellana Matheson Hearing Site: San Francisco, CA
| | $0 |
18-01431 | 03/03/2022 | Claimant(s): Edgar Patricio Paredes Camacho, Edith Fatima Vallarino, Paulo Mauricio Paredes Valencia, Rosa Maria Villamar, Edgar Camacho and Rosa Villamar Jointly, Paulo Valencia & Edith Vallarino Jointly Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Abdel-Kader Ben-Mohamed, Carlo Rossell, Citigroup Global Markets. Respondent Lawyers(s): Abdel-Kader Ben-Mohamed, Joseph C. Coates Arbitrator(s): Steven Gerard Goerke, Monroe Mitchel, Stacey Rosenthal Hearing Site: Miami, FL
| | Expungement |
20-00599 | 02/25/2022 | Claimant(s): Nicholas M. Del Ninno, IRA Claimant Lawyers(s): Andrew M. Greenidge Respondent(s): Robert W. Baird & Co. Incorporated, J.J.B. Hilliard, W.L. Lyons, Randal Master Respondent Lawyers(s): Joseph C. Coates, III Arbitrator(s): David M. Snyder, Shameeka E. Quallo, Dwayne Eddie Hickman Hearing Site: Orlando, FL
| | Expungement |
21-00833 | 12/02/2021 | Claimant(s): Lisa Drew, Trustee, PR, & Individually Claimant Lawyers(s): Josh M. Rubens Respondent(s): Morgan Stanley Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): Erika Deutsch Rotbart, Erika-Rae M Harvey, Christopher William Pole Hearing Site: Boca Raton, FL
| | settlement |
17-01908 | 07/16/2019 | Claimant(s): Isabel Litovich-Quintana, Jose Torres Claimant Lawyers(s): Jeffrey Erez Respondent(s): Morgan Stanley Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): Jill Pilgrim, Constance P. Barr, Irlanda Ruiz Hearing Site: Miami, FL
| | $3,261,420 |
16-02052 | 12/26/2018 | Claimant(s): Asante Samuel, Gregory Groves, James Groves, Deepside LLC, Makin Moves 22, Pearl Brothers LLC Claimant Lawyers(s): Curtis Carlson, Matthew E. Johnson Respondent(s): Morgan Stanley Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): Steven R. Reininger, Sonja Shuford, Dorota J. Trzeciecka Hearing Site: Miami, FL
| | $4,211,750 |
14-03759 | 04/27/2017 | Claimant(s): Steven Rakoff Claimant Lawyers(s): Adam Gana Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): Robert J. Kheel, Madelyn A. Levy, Natalie Jennifer Bordeaux Hearing Site: New York, NY
| | Expungement |
15-02289 | 04/11/2017 | Claimant(s): Roberto Ramon Midence Revocable Living Claimant Lawyers(s): D. Daxton White Respondent(s): Morgan Stanley, RBC Capital Markets LLC Respondent Lawyers(s): John P. Kincade, Joseph C. Coates Arbitrator(s): Maryanne M. Esser, Amy Lynn Mitchell, Shannon Lyn Mays Hearing Site: Houston, TX
| | Expungement |