WILLIAM RALPH COKE is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 1 FEDERAL STREET, 29TH FLOOR, BOSTON, MA, 02110.
WILLIAM RALPH COKE has worked at J.P. MORGAN SECURITIES LLC since June 23, 1992
Disclosure History
WILLIAM RALPH COKE has 2 Disclosure Event(s).
Date: March 10, 2000 Category: Customer Dispute Allegations: CLAIMANT SEEKS DAMAGES IN THE AMOUNT BETWEEN $250,000 AND $1,000,000 BASED ON ALLEGATIONS THAT ON FEBRUARY 14, 2000, I SOLD 1,200 SHARES OF RAMBUS STOCK WITHOUT AUTHORIZATION AND "WITHOUT ANY BASIS" I RECOMMENDED THE NEXT DAY THAT CLAIMANT SELL THE REST OF HIS SHARES, A RECOMMENDATION THAT CLAIMANT FOLLOWED. CLAIMANT ARGUES THAT ALTHOUGH HE MADE SIGNIFICANT PROFITS FROM THESE SALES, HE WOULD HAVE MADE MORE HAD HE SOLD THEM LATER. Damage Amount Requested: $250,000.00 Damages Granted: $45,150.00 Broker Comment: OUR COUNSEL DEMONSTRATED THAT I BELIEVED THAT I HAD TIME AND PRICE DISCRETION BUT THAT, EVEN IF THE PANEL WERE TO DETERMINE THAT I DIDN'T, CLAIMANT'S DECISION TO SELL THE REST OF HIS SHARES THE NEXT DAY DEMONSTRATED HIS RATIFICATION OF THE EARLIER SALE. THIS RATIFICATION WAS SOLIDIFIED BY CLAIMAINT'S FAILURE TO COMPLAIN ABOUT THE RAMBUS SALE UNTIL HE SAW ITS PRICE RISE DRAMATICALLY SEVERAL WEEKS LATER. THE PANEL AWARDED THE ONE DAY DIFFERENCE IN PRICE BETWEEN THE DAY I SOLD THE SHARES AND WHEN CLAIMANT SOLD THE REST OF HIS SHARES.
Date: May 18, 1992 Category: Employment Separation After Allegations Firm Name: FIRST ALBANY CORP. Termination Type: Permitted to Resign Allegations: N/AA CLIENT ALLEGED THAT I MADE AN UNAUTHORIZEDTRADE IN HIS ACCOUNT. THE CLIENT WAS EDWARD CAPUTO. Broker Comment: FIRST ALBANY SETTLED WITH THE CLIENT FOR ABOUT$1500,00. BECAUSE OF THIS ALLEGED COMPLAINT, FIRST ALBANYTERMINATED MY EMPLOYMENT WITH THEM.I ADVISED MY CLIENT THAT I BOUGHT A BLOCK OFSTOCK AND INQUIRED IF HE WANTED TO BE INCLUDED IN IT. IT WASAFTER 4:00 THAT THE CLIENT ADVISED ME THAT HE WANTED THE STOCK.NOT UNTIL THE STOCK WAS DOWN FROM WHERE IT WAS BOUGHT DID THECLIENT ALLEGE AN UNAUTHORIZED TRADE.
More Information
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