57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Duty
Verdict:
$3,750,000
|
$3,750,000
|
In re Agria Corporation |
Nov. 6, 2010
|
|
|
Securities
Employment |
Expungement | Jeffrey R. Jury | Kevin Brooks Kugley v. Meri... |
Oct. 6, 2017
Aug. 4, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$54,105,600
|
$54,105,600
|
Gerald D. Hosier, individua... |
Jun. 25, 2011
Apr. 18, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
John D. Haas, Kathy Haas, N... |
Jan. 16, 2016
Nov. 19, 2015 |
|
|
Securities
Verdict:
$7,300,000
|
$7,300,000
|
Barbara A. Meiers | Chanh Huynh, Michael Smith ... |
May 22, 2020
Nov. 6, 2019 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Melchor Gragirena, Karen Gr... |
Dec. 22, 2012
Nov. 19, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$150,000
|
$150,000
|
Securities and Exchange Com... |
Aug. 14, 2010
Jan. 24, 2010 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Paul F. Faberman | Darlene Darata v. McClurg C... |
Dec. 9, 2006
Sep. 27, 2006 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
William Feinstein v. Merril... |
Dec. 9, 2006
Sep. 21, 2006 |
|
|
Securities
Securities Exchange Act |
Dismissal | Amy D. Hogue | Yogina Rezko v. XBiotech In... |
Mar. 1, 2019
Nov. 27, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$750,000
|
$750,000
|
Hillcrest Children's Center... |
May 31, 2014
May 12, 2014 |
|
|
Securities
Breach of Contract |
Expungement | Kirtley M. Thiesmeyer | Charles Schwab & Co. Inc. v... |
Jan. 12, 2018
Jun. 19, 2017 |
|
Securities
Securities Fraud
Verdict:
$60,000
|
$60,000
|
Herbert Liberman | Nigel Timms v. Morgan Stanl... |
Feb. 9, 2018
Jan. 2, 2018 |
|
Securities
Securities Exchange Act |
Dismissal | M. James Lorenz | James Jiao and Samuel Nunez... |
Apr. 24, 2020
Feb. 28, 2020 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Bob Rogers, in his individu... |
Dec. 28, 2018
Sep. 26, 2018 |
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Denial |
Bobby Karim Panahi v. UBS F... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$184,391
|
$184,391
|
Dr. Mohamed Ahmed, individu... |
Mar. 28, 2015
Feb. 28, 2015 |
|
|
Securities
Fraud
Verdict:
$7,500,000
|
$7,500,000
|
People of the State of Cali... |
Nov. 29, 2008
Sep. 2, 2008 |
|
|
Securities
Breach of Promissory Note
Verdict:
$210,532
|
$210,532
|
Confidential |
Apr. 14, 2007
Jan. 17, 2007 |
|
|
Securities
Securities Fraud
Verdict:
$357,000
|
$357,000
|
Anthony J. Pryor v. Wells F... |
Apr. 15, 2017
Mar. 12, 2017 |
|
|
Securities
Breach of Contract |
Respondent | George L. Tindall | Cyrus Tabaz v. Unionbanc In... |
Feb. 9, 2018
Nov. 28, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$14,629
|
$14,629
|
Harold Edmonson v. First Mi... |
Apr. 5, 2014
Mar. 7, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$477,867
|
$477,867
|
Alison Gordon, as Successor... |
Jan. 29, 2011
Dec. 31, 2010 |
|
|
Securities
Unfair Competition
Verdict:
$1,249,524
|
$1,249,524
|
Cheryl Marie Allain-Mee | Charles Schwab & Co. Inc. v... |
Dec. 15, 2017
Nov. 2, 2017 |
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement |
Scott Blair v. UBS Financia... |
May 21, 2016
Apr. 18, 2016 |
|
|
Securities
Securities Exchange Act
Verdict:
$36,500,000
|
$36,500,000
|
Sunil R. Kulkarni | In re: Maxar Technologies, ... |
Feb. 16, 2024
Dec. 7, 2023 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Rivette Family Trusts v. We... |
Dec. 20, 2019
Nov. 6, 2019 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Jason Roberts Coles v. Well... |
Jun. 30, 2012
Aug. 24, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Christopher Gaertner, Jacqu... |
Dec. 28, 2013
Nov. 22, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$163,751
|
$163,751
|
Morgan Stanley Smith Barney... |
Dec. 21, 2013
Nov. 19, 2013 |