57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
In re Hot Topic Inc. Securi... |
Jan. 3, 2015
May 2, 2014 |
|
|
Securities
Securities Fraud |
Dismissal | Charles R. Breyer | Huei-Ting Kang, individuall... |
Sep. 22, 2023
Apr. 27, 2023 |
|
Securities
Breach of Contract
Verdict:
$1,165,000
|
$1,165,000
|
Albertus Niehuis Jr., Andre... |
May 24, 2014
Apr. 30, 2014 |
|
|
Securities
Expungement |
Claimant | G. Scott Diddel v. Voya Fin... |
Dec. 13, 2019
Oct. 29, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Marie C. Mirch v. Morgan St... |
Jan. 14, 2012
Dec. 15, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Matt Lichtenberg, David Liv... |
Dec. 4, 2010
Nov. 11, 2010 |
|
|
Securities
Securities Fraud |
Respondent | Theresa Taylor v. Interacti... |
Feb. 7, 2020
Oct. 31, 2019 |
|
|
Securities
Breach of Contract
Verdict:
$100,000
|
$100,000
|
Anthony Cowan, Jennifer Cow... |
Jun. 28, 2014
Jun. 6, 2014 |
|
|
Securities
Securities Exchange Act |
Dismissal | Jon S. Tigar | Chad C. Smith, individually... |
Mar. 19, 2021
Feb. 26, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$12,750,000
|
$12,750,000
|
Marilyn L. Huff | Kevin Kendall, Individually... |
Dec. 23, 2021
Dec. 3, 2021 |
|
Securities
Breach of Contract
Verdict:
$435,383
|
$435,383
|
Patrick "Brian" FitzWilliam... |
Sep. 7, 2013
Aug. 15, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Easton Limited Partneship v... |
Aug. 18, 2012
Jul. 24, 2012 |
|
|
Securities
Expungement |
Expungement | Brent Stanley Pine v. Voya ... |
Apr. 10, 2020
Feb. 14, 2020 |
|
|
Securities
Securities Fraud
Verdict:
$200,000,000
|
$200,000,000
|
Richard Seeborg | Boston Retirement System v.... |
Oct. 11, 2024
Aug. 9, 2024 |
|
Securities
Suitability |
Expungement | Kendall C. Reed | Jay Goldner and Denise Gold... |
Jun. 21, 2019
May 6, 2019 |
|
Securities
Expungement |
Claimant | Robert Z. Disman v. UBS Fin... |
Jan. 3, 2020
Nov. 6, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,405,390
|
$1,405,390
|
Jane Ellison Usher, both in... |
Dec. 17, 2011
Nov. 29, 2011 |
|
|
Securities
Verdict:
$7,300,000
|
$7,300,000
|
Barbara A. Meiers | Chanh Huynh, Michael Smith ... |
May 22, 2020
Nov. 6, 2019 |
|
Securities
Securities Exchange Act |
Dismissal | Jeffrey S. White | In re: Silverlake Group LLC... |
Sep. 22, 2023
Apr. 26, 2023 |
|
Securities
Falsification of Records
Verdict:
-$1
|
-$1
Mixed Result |
Department of Market Regula... |
Jul. 9, 2016
Apr. 4, 2016 |
|
|
Securities
Breach of Promissory Note
Verdict:
$533,535
|
$533,535
|
Wells Fargo Investments, LL... |
Jul. 31, 2010
Jun. 22, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$190,000
|
$190,000
|
Robert M. Sapp Jr. v. ING F... |
Aug. 4, 2012
Jul. 10, 2012 |
|
|
Securities
CLRA
Verdict:
-$1
|
-$1
Defense |
William Hahn, Jeane Hahn v.... |
Nov. 27, 2010
Oct. 18, 2010 |
|
|
Securities
Expungement |
Claimant | Chiu-Ni Wang v. LPL Financi... |
Nov. 20, 2020
Oct. 2, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claimants |
Marion Thomas Risner, indiv... |
Aug. 21, 2010
Aug. 3, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$156,250
|
$156,250
|
Patricia Castro and Alvaro ... |
Aug. 11, 2012
Jul. 13, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$19,700,000
|
$19,700,000
|
In re Sunpower Securities L... |
Jan. 5, 2013
Dec. 14, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Alaris F. Thorns IRA Rollov... |
Aug. 31, 2013
Aug. 14, 2013 |
|
|
Securities
|
Respondent | Steven Moreno v. Merrill Ly... |
Apr. 17, 2020
Feb. 4, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable agreement |
Booth Family Trust, on beha... |
Dec. 24, 2010
Aug. 19, 2010 |