57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ferdinand Schoch | Lanek Limited, Kevin McCurd... |
Dec. 9, 2006
Jul. 31, 2006 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Bob T. Hall and Mariah G. H... |
Nov. 18, 2006
Sep. 25, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Darrell Lake, Executor for ... |
Nov. 18, 2006
Sep. 14, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Robert Paul v. Peter Shieh ... |
Nov. 18, 2006
Sep. 7, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Paul F. Faberman | Darlene Darata v. McClurg C... |
Dec. 9, 2006
Sep. 27, 2006 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Douglas Anthony Bott v. UBS... |
Feb. 2, 2013
Jan. 14, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Marvin Antonowsky, Antonows... |
Jun. 30, 2012
Jun. 4, 2012 |
|
|
Securities
Expungement |
Claimant | Michael Frank Greenstone v.... |
Sep. 25, 2020
Jul. 21, 2020 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
David Baratko v. Banc of Am... |
Jan. 5, 2013
Dec. 11, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$8,011,530
|
$8,011,530
|
Amit Gupta v. Morgan Stanle... |
Sep. 21, 2013
Aug. 29, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$300,000
|
$300,000
|
Trina L. Thompson | Securities and Exchange Com... |
Sep. 4, 2025
Jun. 10, 2025 |
|
Securities
Securities Exchange Act |
Defense | James Donato | Daniel Valenti, et al. v. D... |
Sep. 4, 2025
Apr. 9, 2025 |
|
Securities
Securities Fraud
Verdict:
$4,735,840
|
$4,735,840
|
Securities and Exchange Com... |
Sep. 27, 2014
Aug. 14, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Randel Kendall, individuall... |
Feb. 20, 2010
Jan. 15, 2010 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Jack Permutter, individuall... |
Oct. 22, 2011
Aug. 10, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Injunctive Relief |
Securities and Exchange Com... |
Oct. 22, 2011
Oct. 3, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Robert J. Coffey, individua... |
Oct. 22, 2011
Oct. 3, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles Jia, Laura Xiaoluo ... |
Sep. 27, 2014
Sep. 5, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Third-Party Claim Denied |
Maximino Gutierrez v. Inves... |
Sep. 27, 2014
Sep. 5, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Gene A. and Janice M. Hedlu... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$61,000,000
|
$61,000,000
|
Aurum STS Aggressive Tradin... |
Oct. 29, 2011
Oct. 6, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$6,215
|
$6,215
|
Vincent R. and Tracie D. He... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
D.L. Gai, Trustee of the Ga... |
Dec. 21, 2013
Nov. 20, 2013 |
|
|
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:
$10,871
|
$10,871
|
Alice M. Potter v. Ameritas... |
Jun. 9, 2012
May 11, 2012 |
|
|
Securities
Expungement |
Claimant | Troy Nicholas Tremblay v. C... |
Jun. 19, 2020
Mar. 26, 2020 |
|
|
Securities
Securities Exchange Act |
Defense | Charles R. Breyer | Mohan R. Sundaram, individu... |
Sep. 4, 2025
Apr. 10, 2025 |
|
Securities
Expungement |
Claimant | Steven Phillip Margulin v. ... |
Jun. 19, 2020
Apr. 16, 2020 |
|
|
Securities
Securities Exchange Act
Verdict:
$33,000,000
|
$33,000,000
|
Haywood S. Gilliam Jr. | Greg Fleming, individually ... |
Jun. 24, 2022
Mar. 31, 2022 |
|
Securities
Securities Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Pension Trust Fund for Oper... |
Nov. 9, 2013
Sep. 25, 2013 |