57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Elliott D. Finkel | Peter Edward Cunningham v. ... |
May 3, 2019
Mar. 22, 2019 |
|
Securities
Securities Fraud
Verdict:
$252,455
|
$252,455
|
Securities and Exchange Com... |
Oct. 15, 2016
Sep. 23, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement granted |
Joan L. Shapiro, as Trustee... |
Jul. 14, 2012
Jun. 8, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Verdict for respondent Morgan Stanley Smith Barney |
Oliver Schwarz v. Citigroup... |
Jul. 21, 2012
Jun. 4, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
David L. Schriger, co-trust... |
Apr. 10, 2010
Mar. 5, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Georgia Alexander v. Citigr... |
Dec. 14, 2013
Apr. 10, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
James Elist, Emil Halimi, G... |
Nov. 20, 2010
Oct. 21, 2010 |
|
|
Securities
Expungement |
Claimant | Luis-Diego Quiroz v. J.P. M... |
Aug. 14, 2020
Jun. 3, 2020 |
|
|
Securities
Securities Fraud
Verdict:
$117,000,000
|
$117,000,000
|
In re HealthSouth Corp. Sec... |
Feb. 12, 2011
May 12, 2010 |
|
|
Securities
Violation of California Securities Law |
Expungement | Marc Kalish | Edith Seely, individually, ... |
Jan. 12, 2018
Jun. 21, 2017 |
|
Securities
Misrepresentation and Fraud
Verdict:
$0
|
$0
|
Paul M. Bryant Jr. | Robert and June Pierre, Ral... |
Nov. 27, 1993
Nov. 8, 1993 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Dismissal |
Donald Sehmel and Mary Sehm... |
Jun. 15, 2013
Jun. 3, 2013 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Ernest C. Coneen, The Conee... |
Jul. 4, 2014
Jan. 29, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Sergio Gavaldon, Angelica G... |
Dec. 29, 2012
Nov. 28, 2012 |
|
|
Securities
Expungement |
Respondent | Cynthia Mary Couyoumjian v.... |
Mar. 13, 2020
Nov. 8, 2019 |
|
|
Securities
Expungement |
Expungement | Kevin K. Forrester | Nisha Sandeep Varma v. LPL ... |
May 31, 2019
Apr. 4, 2019 |
|
Securities
Unfair Business Practices
Verdict:
$151,506
|
$151,506
|
Martina Hutchinson, individ... |
Mar. 8, 2014
Feb. 10, 2014 |
|
|
Securities
Fraud
Verdict:
$2,600,000
|
$2,600,000
|
Bruce Belodoff v. Netlist I... |
Nov. 27, 2010
Nov. 18, 2009 |
|
|
Securities
Securities Fraud
Verdict:
$147,000,000
|
$147,000,000
|
Securities and Exchange Com... |
Mar. 26, 2016
Feb. 23, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable agreement |
Booth Family Trust, on beha... |
Dec. 24, 2010
Aug. 19, 2010 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Herbert Liberman | Joan Haevernick v. Merrill ... |
Aug. 25, 2017
Jun. 28, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$5,998,000
|
$5,998,000
|
David O. Carter | Securities and Exchange Com... |
Dec. 10, 2021
Nov. 19, 2021 |
|
Securities
CLRA
Verdict:
-$1
|
-$1
Defense |
William Hahn, Jeane Hahn v.... |
Nov. 27, 2010
Oct. 18, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
John Yarbrough v. Citigroup... |
Jan. 16, 2010
Dec. 10, 2009 |
|
|
Securities
Breach of Duty
Verdict:
$3,750,000
|
$3,750,000
|
In re Agria Corporation |
Nov. 6, 2010
|
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$218,881.86 attorney fees and costs awarded to respondent Kristian Colvin |
Charles Schwab & Co. Inc. v... |
Nov. 20, 2010
Oct. 20, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$19,700,000
|
$19,700,000
|
In re Sunpower Securities L... |
Jan. 5, 2013
Dec. 14, 2012 |
|
|
Securities
Fraud and Gross Negligence |
Respondent | Peter H. Daly | E. Thomas Clark Jr., aka El... |
Nov. 10, 2017
Sep. 11, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Matt Lichtenberg, David Liv... |
Dec. 4, 2010
Nov. 11, 2010 |
|
|
Securities
Expungement |
Expungement | Philip A. Tymon | Sonny Hamesh Gulati v. UBS ... |
Feb. 1, 2019
Dec. 3, 2018 |