| 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 |
| 15-01066 | 05/23/2016 | Claimant(s): Keyon Dooling, Notosha Dooling, KLD Enterprises, John B. St. Clair and Shannon St. Clair
Claimant Lawyers(s): Charles Carlson
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Will Murphy, Christopher J. Klein, Brett Matthew Logan
Hearing Site: Miami, FL
| | $819,300 |
| 13-01000 | 03/04/2016 | Claimant(s): David Wender, Sam Owen, David F. Wender, M.D. IRA, Sam Bryan Owen, SEP IRA, Newborn Assoc. PA Salary Savings Plan
Claimant Lawyers(s): Frank Kim Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): John C. Burch, Mark A. Myers, James L. Warren
Hearing Site: Jackson, MS
| | Expungement |
| 13-00850 | 08/21/2015 | Claimant(s): Elizabeth Simpson, Elizabeth Winkelmann, Kimberly Odom, Nancy Clark, Billy P. Simpson, IRA, Charles W. Randall SEP IRA, Cynthia Winkelmann, Elizabeth H. Simpson, Richard B. Durgin, Rita Randall, Billy Simpson and Elizabeth Simpson
Claimant Lawyers(s): Joseph C. Peiffer
Respondent(s): Annette Dubose, Christa Garrett, Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Stephen H. Biller, Angelia J. Tolbert, Barbara Carraway Dogan
Hearing Site: Jackson, MS
| | Expungement |
| 12-02257 | 07/24/2015 | Claimant(s): Barbara Carter Summers, Jeff Summers, M.D., Lon Lutz, Michael Winkelmann, Rahul Vohra, M.D. & Sherry Vohra, Joint
Claimant Lawyers(s): Frank "Kim" Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister III, Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Mark A. Myers, John Paul Lusk, Susan G. Pinkston
Hearing Site: Jackson, MS
| | $2,382,850 |
| 12-02242 | 07/16/2015 | Claimant(s): Robert Teel, Robert Charles LLC, Robert Charles & Co., L.P., Robert Charles Class A, Robert Charles L.P., Calvin Brown Memorial Trust
Claimant Lawyers(s): Leslie Wybiral, Louis F. Burke
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, Paul J. Schumacher
Arbitrator(s): Helen W. Kinnaird, Gene S. Evenskaas, Deanna Margaret Veitia
Hearing Site: San Diego, CA
| | $327,000 |
| 13-00880 | 06/11/2015 | Claimant(s): Chris Ethridge, Jesse Ethridge, Mark Shapley, Jesse C. Ethridge, IRA, Mississippi Sports Medicine 401(K) Plan, Amy Hatchett and Brad Hatchett, JT TEN
Claimant Lawyers(s): Frank "Kim" Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Patrice L. Stewart, Stephen H. Biller, James L. Warren
Hearing Site: Jackson, MS
| | Expungement |
| 12-02499 | 05/21/2015 | Claimant(s): Anne Unanue, Carlos Unanue, Francisco Unanue, Jorge Unanue, Jose Rivero, The Anne Marie Unanue Revocable Trust
Claimant Lawyers(s): Dennis A. Nowak
Respondent(s): Jorge Carreras, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Steven Gerard Goerke, Kevin A. Llinas, Paul J. Burkhart
Hearing Site: Miami, FL
| | $0 |
| 12-01019 | 08/15/2014 | Claimant(s): Trt Agrt # 15437-5, Banco Nacional TTEE
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): James W. Geiger, Paul J. Burkhart, Harris Gally
Hearing Site: Miami, FL
| | $4,500,000 |
| 12-03762 | 08/12/2014 | Claimant(s): Bridget Gipson, John Gaynoe
Claimant Lawyers(s): David Luther Woodward, Marsha L. Lyons
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Richard F. Dole, Onnig Hatchig Dombalagian, Richard Devlin Roussel
Hearing Site: Houston, TX
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