57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$7,500,000
|
$7,500,000
|
In the Matter of Qualcomm Inc. |
Apr. 2, 2016
Mar. 1, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$5,500,000
|
$5,500,000
|
Wayman Tripp, Sven Mossberg... |
Oct. 6, 2012
Aug. 10, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$170,376
|
$170,376
|
Roger Verhage | Confidential |
Jan. 11, 1997
Dec. 5, 1996 |
|
Securities
Broker Negligence
Verdict:
$25,000
|
$25,000
|
Dolores Shira v. ML Stern &... |
Oct. 29, 2002
Aug. 27, 2002 |
|
|
Securities
Securities Exchange Act
Verdict:
$2,500,000
|
$2,500,000
|
Jacqueline S. Corley | Tyler Hardy and Danny Roche... |
Jan. 12, 2024
Sep. 26, 2023 |
|
Securities
Defamation
Verdict:
$400,000
|
$400,000
|
Arthur T. Berggren | Michael William Sexton v. B... |
Feb. 9, 2018
Dec. 28, 2017 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Simon David Lewis, Laurens ... |
Mar. 20, 2010
Feb. 10, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$32,247 compensatory, $30,000 attorney fees, $6,000 expert witness fees, and $14,400 FINRA hearing session fees |
Robert J. Bridge v. Merrill... |
Dec. 31, 2010
Dec. 2, 2010 |
|
|
Securities
Expungement |
Claimant | George L. Tindall | Steven Craig Henningson v. ... |
Nov. 29, 2019
Oct. 8, 2019 |
|
Securities
Securities Fraud
Verdict:
$4,735,840
|
$4,735,840
|
Securities and Exchange Com... |
Sep. 27, 2014
Aug. 14, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Sheldon Bloch, Jacki Conoll... |
Apr. 13, 2013
Mar. 28, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Kevin T. Knox, Noe Barocio,... |
Jun. 11, 2016
May 10, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$8,000,000
|
$8,000,000
|
In re Cafepress Inc. Shareh... |
Jul. 18, 2015
May 8, 2015 |
|
|
Securities
Expungement |
Expungement | Walter S. Schwartz | Orion Kelly Willis v. Centa... |
Apr. 12, 2019
Feb. 27, 2019 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Netflix Inc., Securit... |
Mar. 2, 2013
Feb. 13, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Arthur Young Cooper, David ... |
May 2, 2015
Mar. 27, 2015 |
|
|
Securities
Negligence
Verdict:
$275,987
|
$275,987
|
Shirley Peltier v. Cullum &... |
Jan. 16, 2016
Nov. 19, 2015 |
|
|
Securities
Fraud
Verdict:
$300,000
|
$300,000
|
In the Matter of Raymond J.... |
Jul. 20, 2013
Jul. 8, 2013 |
|
|
Securities
Securities Exchange Act |
Dismissal | Charles R. Breyer | In re: Eargo Inc. Securitie... |
Feb. 9, 2024
Oct. 12, 2023 |
|
Securities
Securities Exchange Act
Verdict:
$490,000,000
|
$490,000,000
|
Yvonne Gonzalez Rogers | In re Apple Inc. Securities... |
Jun. 28, 2024
Mar. 15, 2024 |
|
Securities
Securities Fraud
Verdict:
$1,400,000,000
|
$1,400,000,000
|
People of the State of Cali... |
Apr. 3, 2010
Nov. 17, 2009 |
|
|
Securities
Stocks
Verdict:
$10,850,000
|
$10,850,000
|
Stuart J. Steele, et al. v.... |
Jan. 14, 2012
Dec. 21, 2011 |
|
|
Securities
Expungement |
Expungement | Barbara M. Zak | Antoine Nabih Souma v. UBS ... |
Apr. 19, 2019
Feb. 4, 2019 |
|
Securities
Securities Fraud
Verdict:
$80,000,000
|
$80,000,000
|
Gordon Noble, et al. v. Gre... |
Jan. 23, 2016
Dec. 17, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Vincent Cervoni, Rita Cervo... |
Jan. 11, 2014
Dec. 19, 2013 |
|
|
Securities
Employment
Verdict:
$61,100
|
$61,100
|
Daniel Becerra v. Oppenheim... |
Aug. 2, 2014
Jul. 2, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Gary Moye, Joel Vanblerkom ... |
Jan. 11, 2014
Dec. 20, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In Re Finisar Corporation S... |
Feb. 9, 2013
Jan. 16, 2013 |
|
|
Securities
Securities Exchange Act |
Dismissal | David O. Carter | R. Brian Terenzini, individ... |
Jul. 29, 2022
Jun. 9, 2022 |
|
Securities
Securities Fraud
Verdict:
$2,300,000
|
$2,300,000
|
Washington Umberto Cinel v.... |
Jul. 28, 2012
Jun. 19, 2012 |