57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$463,082
|
$463,082
|
U.S. Securities and Exchang... |
Jul. 17, 2020
Apr. 9, 2020 |
|
|
Securities
Negligence
Verdict:
$275,987
|
$275,987
|
Shirley Peltier v. Cullum &... |
Jan. 16, 2016
Nov. 19, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$5,900,000
|
$5,900,000
|
John A. Houston | Securities and Exchange Com... |
Jan. 4, 2019
Nov. 16, 2018 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Richard Norman | Simco Company v. E-Trade Se... |
Sep. 1, 2017
Jun. 23, 2017 |
|
Securities
Fraud
Verdict:
$1,400,000,000
|
$1,400,000,000
|
The People of the State of ... |
Jul. 10, 2010
Jun. 22, 2010 |
|
|
Securities
Expungement |
Expungement | Michael Harrison | Simon Matthew Holford v. Me... |
Apr. 5, 2019
Feb. 12, 2019 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Paul F. Faberman | Darlene Darata v. McClurg C... |
Dec. 9, 2006
Sep. 27, 2006 |
|
Securities
Expungement |
Expungement Denied | Jonathan B. Gilbert | Linda Lundstrom Cook v. VSR... |
Apr. 12, 2019
Feb. 27, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$35,952
|
$35,952
|
Daryl Olson v. John Francis... |
Feb. 8, 2014
Jan. 22, 2014 |
|
|
Securities
Expungement |
Expungement | Morris S. Getzels | Jeffrey Aaron Horn v. RBC C... |
Sep. 1, 2017
Jun. 1, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
Metal Finishing Association... |
Sep. 17, 2011
Jun. 9, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$11,000,000
|
$11,000,000
|
Edward J. Davila | Michael Sanders, individual... |
Dec. 23, 2022
Jul. 28, 2022 |
|
Securities
Securities Fraud |
Expungement | William M. Samsel | Laurie Seeman, an individua... |
Oct. 6, 2017
Sep. 1, 2017 |
|
Securities
Fraud
Verdict:
$1,367,000
|
$1,367,000
|
Heinrich Hardt, Araceli Har... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Brad Johnson v. Wells Fargo... |
Jan. 4, 2014
Dec. 13, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ronald L. Gershon | Patrick J. Schachle v. Merr... |
Dec. 9, 2006
Aug. 15, 2006 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Linden Pasadena Properties,... |
Dec. 31, 2010
Dec. 2, 2010 |
|
|
Securities
Expungement |
Expungement | Sandra J. Mullings | Jeremy Paul v. Citigroup Gl... |
Jan. 25, 2019
Dec. 11, 2018 |
|
Securities
Expungement |
Claimant | George L. Tindall | Gal Sherman v. Equity Servi... |
Dec. 20, 2019
Oct. 10, 2019 |
|
Securities
Breach of Contract
Verdict:
$1,165,000
|
$1,165,000
|
Albertus Niehuis Jr., Andre... |
May 24, 2014
Apr. 30, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$2,375,000
|
$2,375,000
|
Dana M. Sabraw | Scott Kuhne, individually a... |
Dec. 30, 2022
Sep. 30, 2022 |
|
Securities
Verdict:
$549,000
|
$549,000
|
Securities and Exchange Com... |
Sep. 8, 2007
Jul. 31, 2007 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Robert Paul v. Peter Shieh ... |
Nov. 18, 2006
Sep. 7, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Darrell Lake, Executor for ... |
Nov. 18, 2006
Sep. 14, 2006 |
|
|
Securities
Negligent Misrepresentation |
Expungement | Michael Harrison | Charles W. Morgan, individu... |
Oct. 6, 2017
Aug. 22, 2017 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Dismissal |
Martin J. Smallen, Dolores ... |
Mar. 15, 2014
Feb. 19, 2014 |
|
|
Securities
Breach of Duty
Verdict:
$13,000,000
|
$13,000,000
|
New Jersey Carpenters Pensi... |
May 10, 2014
Feb. 5, 2014 |
|
|
Securities
Breach of Contract |
Respondent | Brian B. Torsney Sr. | Bradley Aaron Sayre v. J.P.... |
Jan. 12, 2018
Aug. 3, 2017 |
|
Securities
Breach of Contract
Verdict:
$506,497
|
$506,497
|
Wedbush Securities Inc. v. ... |
Nov. 6, 2014
Oct. 4, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,900,000
|
$1,900,000
|
Jeffrey S. White | Avi Yaron, individually and... |
Dec. 16, 2022
Nov. 5, 2021 |