57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Eric Allen Sigdestad, Shane... |
May 25, 2013
May 13, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$70,000
|
$70,000
|
Carole A. Lane v. Louis B. ... |
Sep. 13, 2008
May 4, 2008 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Charles C. Patton v. Wells ... |
Oct. 30, 2010
Oct. 8, 2010 |
|
|
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | Iron Workers Local 580 Join... |
Mar. 26, 2021
Mar. 2, 2021 |
|
Securities
Securities Fraud
Verdict:
$160,500,000
|
$160,500,000
|
In re Broadcom Corp. Class ... |
Feb. 6, 2010
Dec. 29, 2009 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Alan Barrett, Margaret Barr... |
Apr. 1, 2017
Jan. 7, 2017 |
|
|
Securities
Verdict:
$10,691,500
|
$10,691,500
|
Cormac J. Carney | Securities and Exchange Com... |
Apr. 16, 2021
Jan. 20, 2021 |
|
Securities
Violations of Exchange Act
Verdict:
$4,250,000
|
$4,250,000
|
Paul Luman, Individually an... |
Apr. 20, 2013
Feb. 8, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$2,127,851
|
$2,127,851
|
Stephen V. Wilson | Securities and Exchange Com... |
Dec. 31, 2020
Oct. 26, 2020 |
|
Securities
Expungement |
Expungement | Isidro Z. Miramontes v. Mor... |
Mar. 20, 2020
Nov. 25, 2019 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
John Yarbrough v. Citigroup... |
Jan. 16, 2010
Dec. 10, 2009 |
|
|
Securities
Negligence
Verdict:
$25,000
|
$25,000
|
Steve R. Fraser v. Wachovia... |
Mar. 12, 2011
Feb. 11, 2011 |
|
|
Securities
Verdict:
$50,000
|
$50,000
|
Beth L. Freeman | Securities and Exchange Com... |
Mar. 12, 2021
Feb. 11, 2021 |
|
Securities
Breach of Duty |
Respondent | Thomas Hirsch v. Merrill Ly... |
Jul. 17, 2020
Mar. 24, 2020 |
|
|
Securities
Expungement |
Claimant | G. Scott Diddel v. Voya Fin... |
Dec. 13, 2019
Oct. 29, 2019 |
|
|
Securities
Securities Fraud |
Dismissal | Susan G. Van Keulen | Mark Feathers v. U.S. Secur... |
Jun. 21, 2024
Mar. 19, 2024 |
|
Securities
Breach of Contract
Verdict:
$191,694
|
$191,694
|
Betsy Van Hees v. Cowen & C... |
Oct. 30, 2010
Oct. 7, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
$13,000,000
|
$13,000,000
|
Beth L. Freeman | In re: Precigen Inc. Securi... |
Jan. 5, 2024
Jul. 7, 2023 |
|
Securities
Breach of Contract
Verdict:
$170,376
|
$170,376
|
Roger Verhage | Confidential |
Jan. 11, 1997
Dec. 5, 1996 |
|
Securities
Securities Exchange Act |
Defense | Lucy H. Koh | Jacob McGovney, et al. v. A... |
Mar. 22, 2019
Feb. 5, 2019 |
|
Securities
CLRA
Verdict:
-$1
|
-$1
Defense |
William Hahn, Jeane Hahn v.... |
Nov. 27, 2010
Oct. 18, 2010 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement Denied | Thaddeus J. Tecza | Roger Scott Talman and Cath... |
Mar. 15, 2019
Jan. 21, 2019 |
|
Securities
Expungement |
Expungement | Helen M. Blohm | Lance J. Williams v. Merril... |
Jan. 25, 2019
Dec. 7, 2018 |
|
Securities
Expungement |
Claimant | Steven Todd Jacques v. Voya... |
Aug. 14, 2020
Jun. 24, 2020 |
|
|
Securities
Securities Exchange Act
Verdict:
$137,000
|
$137,000
|
Edward J. Davila | Securities and Exchange Com... |
Apr. 10, 2025
Mar. 28, 2024 |
|
Securities
Securities Exchange Act
Verdict:
$2,400,000
|
$2,400,000
|
Anthony J. Battaglia | Mohammed Usman Ali, individ... |
May 10, 2024
May 24, 2023 |
|
Securities
Expungement |
Claimant | Brian J. Rener v. UBS Finan... |
Jan. 10, 2020
Oct. 28, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Mathew Zuckerman, Intermoun... |
Sep. 3, 2011
Mar. 30, 2011 |
|
|
Securities
Verdict:
$549,000
|
$549,000
|
Securities and Exchange Com... |
Sep. 8, 2007
Jul. 31, 2007 |
|
|
Securities
Breach of Duty
Verdict:
$60,024
|
$60,024
|
Tatsuko Wein v. Wedbush Mor... |
Apr. 30, 2011
Mar. 18, 2011 |