57608 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Negligent Misrepresentation
Verdict:
$3,850,000
|
$3,850,000
|
Anne Ellington | Baldwin, et al. v. Greenber... |
Nov. 23, 1993
Oct. 26, 1993 |
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$641,052 (including fees and costs) |
Martha C. Campbell, persona... |
Oct. 9, 2010
Sep. 17, 2010 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Randall B. Christison | Barbara Freeman v. J.P. Mor... |
Feb. 1, 2019
Dec. 4, 2018 |
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
James P. Beaty, Trustee of ... |
Oct. 9, 2010
Sep. 14, 2010 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$49,000
|
$49,000
|
Maimoona Mirdad v. Wachovia... |
Oct. 9, 2010
Sep. 13, 2010 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$85,061
|
$85,061
|
Ifrach Family Trust Number ... |
Oct. 9, 2010
Sep. 7, 2010 |
|
Securities
Expungement |
Expungement | Philip A. Tymon | Sonny Hamesh Gulati v. UBS ... |
Feb. 1, 2019
Dec. 3, 2018 |
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement |
In re Wireless Facilities I... |
Oct. 9, 2010
Apr. 29, 2010 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Thomas A. Seaman, in his ca... |
Feb. 14, 2015
Apr. 28, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement; Dismissal |
Robert N. Stephens Living T... |
Mar. 26, 2011
Feb. 14, 2011 |
|
Securities
Breach of Contract
Verdict:
$100,000
|
$100,000
|
Anthony Cowan, Jennifer Cow... |
Jun. 28, 2014
Jun. 6, 2014 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal; Equitable Agreement |
Melvin R. Aoki, Melvin R. A... |
Mar. 19, 2011
Feb. 3, 2011 |
|
Securities
Employment
Verdict:
$1,282,020
|
$1,282,020
|
Wells Fargo Advisors LLC v.... |
Jun. 28, 2014
Jun. 10, 2014 |
|
Securities
Securities Fraud
Verdict:
$6,500,000
|
$6,500,000
|
People of the State of Cali... |
Mar. 12, 2011
Feb. 2, 2011 |
|
Securities
Securities Fraud
Verdict:
$36,105
|
$36,105
|
Belinda E. Bullock v. Wedbu... |
Mar. 19, 2011
Jan. 27, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Wilson Humphries Jr., Carol... |
Nov. 1, 2014
Oct. 3, 2014 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiff |
Securities and Exchange Com... |
Mar. 5, 2011
Feb. 3, 2011 |
|
Securities
Commodities
Verdict:
-$1
|
-$1
Equitable Settlement |
Amylin Pharmaceuticals Inc.... |
Dec. 3, 2011
Nov. 9, 2011 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Mark Kalish | Larry Haberkorn v. Wells Fa... |
Sep. 1, 2017
Jun. 22, 2017 |
Securities
Breach of Promissory Note
Verdict:
$6,796,240
|
$6,796,240
|
Barclays Capital Inc. v. Ma... |
Nov. 1, 2014
Oct. 3, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$17,361
|
$17,361
|
Wells Fargo Advisors LLC fo... |
Sep. 18, 2010
Aug. 22, 2010 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$1,012,000 (plus interest) |
Nickie Lee Silk as trustee ... |
Sep. 18, 2010
Aug. 10, 2010 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Voluntary Dismissal |
Joseph J. Bevilacqua, as Tr... |
Mar. 5, 2011
Feb. 5, 2011 |
|
Securities
Wrongful Termination
Verdict:
-$1
|
-$1
Defense |
Albert S. Chen v. Deutsche ... |
Mar. 12, 2011
Feb. 3, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Vickie Tedesco Parrish, ind... |
Oct. 1, 2011
Jul. 18, 2011 |
|
Securities
Violations of Exchange Act
Verdict:
$6,300,000
|
$6,300,000
|
U.S. Securities and Exchang... |
Jul. 2, 2011
Jan. 31, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$202,300 (plus interest) |
Barbara J. Wammer, individu... |
Sep. 11, 2010
Aug. 12, 2010 |
|
Securities
Stocks
Verdict:
-$1
|
-$1
Dismissal |
Christopher D. White v. Ric... |
Feb. 15, 2014
Jan. 28, 2014 |
|
Securities
Breach of Duty
Verdict:
$9,400
|
$9,400
|
Robert J. Buchner | Martin Feins, Trustee of th... |
Dec. 8, 2017
Nov. 7, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$15,368
|
$15,368
|
William A. Tudor and Kathle... |
Jul. 10, 2010
Jun. 4, 2010 |