57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Dismissal |
Stephanie Mallen v. Alphate... |
Aug. 31, 2013
Mar. 28, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Feb. 9, 2013
Jan. 23, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement Denied | James D. Knotter | Gordon Mapes, et al. v. Rya... |
Jan. 12, 2018
Jun. 2, 2017 |
|
Securities
Breach of Promissory Note
Verdict:
$401,364
|
$401,364
|
Morgan Stanley Smith Barney... |
Feb. 9, 2013
Jan. 29, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Susan C. Dumas v. E*Trade S... |
Jul. 26, 2014
Jun. 27, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$1,246,160
|
$1,246,160
|
Agnes Barrelet IRA, Agnes C... |
Jun. 28, 2014
Jun. 11, 2014 |
|
|
Securities
Derivative Suit
Verdict:
$33,200,000
|
$33,200,000
|
In re: KLA-Tencor Corp., Sh... |
May 1, 2010
Mar. 16, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Ronald Eckerman and Carol J... |
Jul. 4, 2014
Jun. 13, 2014 |
|
|
Securities
Expungement |
Claimant | George L. Tindall | Gal Sherman v. Equity Servi... |
Dec. 20, 2019
Oct. 10, 2019 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement Denied |
Mark Robert Fasano, UBS Fin... |
Jul. 4, 2014
Jun. 12, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$34,800
|
$34,800
|
Nancy J. Spieczny | Wells Fargo Advisors LLC v.... |
Aug. 25, 2017
Jul. 11, 2017 |
|
Securities
Expungement |
Expungement | Ralph L. Halpern | Marc Alan Johnson v. Wells ... |
Mar. 8, 2019
Dec. 14, 2018 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Paul Stiehl and Patricia St... |
Mar. 28, 2015
Feb. 12, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Arnold Kreek, individually ... |
Apr. 23, 2011
Jan. 14, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Paul Lemon v. Jeffrey James... |
Aug. 9, 2014
Jul. 9, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Steven Badeau; Geneva BCCX ... |
May 26, 2012
Apr. 9, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$19,750,000
|
$19,750,000
|
Andrew J. Guilford | In re Banc of California Se... |
Jan. 3, 2020
Dec. 2, 2019 |
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Permanent Injunction |
Securities and Exchange Com... |
Dec. 19, 2015
Nov. 3, 2015 |
|
|
Securities
Violations of Exchange Act
Verdict:
$2,500,000
|
$2,500,000
|
Securities and Exchange Com... |
Nov. 5, 2011
Aug. 5, 2011 |
|
|
Securities
Securities Exchange Act |
Dismissal | Brian Barry, individually a... |
Apr. 24, 2020
Feb. 21, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$50,000
|
$50,000
|
George W. Harding | Howard Brinkerhoff v. Charl... |
Dec. 22, 2017
Nov. 9, 2017 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Justin Paperny v. Damon Dav... |
Dec. 15, 2012
Nov. 20, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In re Velti Securities Liti... |
Nov. 14, 2015
Oct. 1, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
In Re: Focus Media Holdings... |
Feb. 18, 2012
Jan. 10, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
David W. Ramey, Trustee v. ... |
May 3, 2014
Apr. 8, 2014 |
|
|
Securities
Expungement |
Expungement | Ronald Louis Valpey v. Merr... |
May 24, 2019
Apr. 11, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$147,019
|
$147,019
|
Robert E. Jenks Jr. | Donald Adams, Eleanor M. Re... |
Oct. 6, 2017
Aug. 15, 2017 |
|
Securities
Unfair Business Practices
Verdict:
$500,000,000
|
$500,000,000
|
David H. Luther, individual... |
May 4, 2013
Apr. 17, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$29,500
|
$29,500
|
John Z. Zarich v. Merriman ... |
Jan. 8, 2011
Dec. 2, 2010 |
|
|
Securities
Violation of the Protocol for Broker Recruiting |
Claimant | Evan A. Gould | Southwest Securities Inc. n... |
Oct. 6, 2017
Aug. 10, 2017 |