12-00159 | 05/23/2014 | Claimant(s): Jessica Clarke, IRA Claimant Lawyers(s): Joseph Peiffer Respondent(s): Fred Brister III, Hilary Zimmerman, Morgan Stanley, Morgan Stanley & Co., Steven Wyatt Respondent Lawyers(s): George C. Freeman, Joseph C. Coates Arbitrator(s): Gloria J Liddell, Fred M. Ridolphi, Kenneth W. Shelley Hearing Site: Jackson, MS
| | $150,600 |
11-00932 | 06/24/2013 | Claimant(s): John Kassel, Kay Hankins (Kassel), Kermit Jones, Rolfe Hankins, John I. Kassel IRA, Rolfe Harris Hankins IRA, Joye H. Steen Rev Trust Dtd 12/14/2004, Joye H. Steen Rev Trust FBO Joye Steen, Kermit V. Jones Jr., TTEE Claimant Lawyers(s): Judson M. Lee Respondent(s): Fred Brister III, Hilary Zimmerman, Morgan Stanley, Morgan Stanley & Co., Steven Wyatt Respondent Lawyers(s): Jamie Berger, Joseph C. Coates Arbitrator(s): Simeon B. Reimonenq, William Gilbert Faulk, James Albert Hurt Hearing Site: Jackson, MS
| | $288,440 |
11-02196 | 09/05/2012 | Claimant(s): Margaret Hill Claimant Lawyers(s): Steven B. Caruso Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): Howard D. Jacob, Alida D. Camp, Howard S. Quinn Hearing Site: New York, NY
| | $1,471,190 |
09-04371 | 03/28/2012 | Claimant(s): Kelly Dunne Claimant Lawyers(s): Charles W. Brower Respondent(s): Russell Ruffino, Ruffino & Associates., Transamerica Financial Advisors. Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): Sandra L. Malek, John Alen DeRosa, David L. Maislen Hearing Site: Los Angeles, CA
| | $0 |
11-01531 | 02/16/2012 | Claimant(s): Lawrence Glaser, Benjamin Glaser, Erin Glaser, Hannah Glaser, Kimberly Glaser Claimant Lawyers(s): Simon Kogan Respondent(s): Edmund Stephan, Jonathan Legg, Morgan Stanley & Co. Respondent Lawyers(s): Edmund Stephan, Joseph C. Coates Arbitrator(s): Louis Paul Sitnik, Joyce A. Mitchell, Mark R. Joelson Hearing Site: Washington, DC
| | Expungement |
09-04209 | 07/27/2010 | Claimant(s): The Estate of Philip Greenbaum Claimant Lawyers(s): Adam Doner Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): Ronald H. Walton, Barth Satuloff, Louis Moroff Hearing Site: Boca Raton, FL
| | $190,000 |
09-04293 | 04/30/2010 | Claimant(s): Sandra Boardman Claimant Lawyers(s): William M. Bowen Respondent(s): Bertin Stuckart, David Ruckno, UBS Financial Services Inc. Respondent Lawyers(s): Joseph C. Coates, III Arbitrator(s): Zeb E. Barnhardt, Charles L. Measter, Emmet Francis Martin Hearing Site: Columbia, SC
| | $0 |
08-04879 | 06/17/2009 | Claimant(s): Beatrice Dreisen U/A/D 02/09/90 Claimant Lawyers(s): Curtis Carlson Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): David M. Levine, Lawrence S. Silver, Neil J. Berman Hearing Site: Miami, FL
| | $262,000 |