57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Fraud
Verdict:
$1,800,000
|
$1,800,000
|
In re Rentech Securities Li... |
May 7, 2011
Mar. 23, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
William T. Hampton, individ... |
Jan. 23, 2016
Nov. 2, 2015 |
|
|
Securities
|
Claimant | Al Zvinakis as Holder of FP... |
Jan. 3, 2020
Oct. 18, 2019 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Arnold Kreek, individually ... |
Apr. 23, 2011
Jan. 14, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles W. Ott, as Trustee ... |
May 7, 2011
Mar. 31, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$177,792
|
$177,792
|
Karen E. Rey v. Wedbush Sec... |
May 7, 2011
Mar. 25, 2011 |
|
|
Securities
Violations of Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
Roger Wheeler and Paul Whee... |
Jun. 25, 2011
Mar. 25, 2011 |
|
|
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
Expungement |
The Donald J. Adams Trust v... |
May 23, 2015
Mar. 13, 2015 |
|
|
Securities
Expungement |
Expungement | Dean J. Dietrich | Michael Anthony Destro v. W... |
Jan. 5, 2018
Nov. 16, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Move Inc. v. Citigroup Glob... |
May 23, 2015
Sep. 22, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$150,000
|
$150,000
|
Steve Roof v. Sterling C. S... |
May 30, 2015
Apr. 21, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Joseph Curry, individually ... |
May 16, 2015
Apr. 21, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$3,500,000
|
$3,500,000
|
Josephine L. Staton | Adam Gary LaFrano, and Adam... |
Feb. 9, 2024
Jul. 26, 2023 |
|
Securities
Employment
Verdict:
$9,265
|
$9,265
|
Dwayne Mark Peltier v. UBS ... |
Nov. 30, 2013
Nov. 8, 2013 |
|
|
Securities
Stocks
Verdict:
$23,500,000
|
$23,500,000
|
In re Constar International... |
Nov. 17, 2012
Sep. 14, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Gerhard Rohloff individuall... |
Nov. 3, 2012
Oct. 5, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$247,000
|
$247,000
|
Lucy Mattinen, John Mattine... |
Nov. 3, 2012
Oct. 3, 2012 |
|
|
Securities
Violation of the Securities Act
Verdict:
$8,230,000
|
$8,230,000
|
Dave Lenartz, individually ... |
Feb. 1, 2014
Dec. 18, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$1,000,000
|
$1,000,000
|
Larry Greg Fullmer v. Goldm... |
Dec. 6, 2008
Oct. 3, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissed with prejudice |
Alvin M. Kramer, TTEE, Susa... |
Jan. 17, 2009
Dec. 11, 2008 |
|
|
Securities
Securities Exchange Act |
Dismissal | Charles R. Breyer | In re: Eargo Inc. Securitie... |
Feb. 9, 2024
Oct. 12, 2023 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$10,871
|
$10,871
|
Alice M. Potter v. Ameritas... |
Jun. 9, 2012
May 11, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$143,400
|
$143,400
|
Zvi Streit, The Streit Livi... |
Jun. 16, 2012
May 15, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$27,015
|
$27,015
|
Lynn H. Brahin | Samantha Skorija v. VSR Fin... |
Aug. 25, 2017
Jul. 12, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$36,500,000
|
$36,500,000
|
Sunil R. Kulkarni | In re: Maxar Technologies, ... |
Feb. 16, 2024
Dec. 7, 2023 |
|
Securities
Securities Exchange Act
Verdict:
$75,000
|
$75,000
|
John W. Holcomb | Securities and Exchange Com... |
Feb. 23, 2024
Apr. 13, 2023 |
|
Securities
Violation of California Securities Law |
Expungement | Howard R. Gaines | Rosemarie McBride v. Wells ... |
Aug. 25, 2017
Jun. 28, 2017 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
The 1997 Robert H. Lorsch F... |
Dec. 30, 2006
Apr. 20, 2006 |
|
|
Securities
Employment |
Expungement | Jeffrey R. Jury | Kevin Brooks Kugley v. Meri... |
Oct. 6, 2017
Aug. 4, 2017 |