57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Violation of the Securities Act
Verdict:
$5,799,770
|
$5,799,770
|
Securities and Exchange Com... |
May 31, 2014
May 12, 2014 |
|
|
Securities
Violations of Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
Roger Wheeler and Paul Whee... |
Jun. 25, 2011
Mar. 25, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Gary Varjabedian, on behalf... |
Feb. 13, 2016
Jan. 13, 2016 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Bryan Silagy v. Woodbury Fi... |
Dec. 16, 2006
Aug. 11, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$177,792
|
$177,792
|
Karen E. Rey v. Wedbush Sec... |
May 7, 2011
Mar. 25, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Genesis Venture Capital Cor... |
Jan. 16, 2016
Dec. 1, 2015 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement Denied | Thaddeus J. Tecza | Roger Scott Talman and Cath... |
Mar. 15, 2019
Jan. 21, 2019 |
|
Securities
NASD
Verdict:
$194,015
|
$194,015
|
Deanna Johnson, Clint A. Jo... |
Jun. 16, 2007
Jan. 2, 2007 |
|
|
Securities
Negligence
Verdict:
$25,000
|
$25,000
|
Steve R. Fraser v. Wachovia... |
Mar. 12, 2011
Feb. 11, 2011 |
|
|
Securities
Securities Fraud |
Dismissal | Susan G. Van Keulen | Mark Feathers v. U.S. Secur... |
Jun. 21, 2024
Mar. 19, 2024 |
|
Securities
Securities Fraud
Verdict:
$80,000,000
|
$80,000,000
|
Gordon Noble, et al. v. Gre... |
Jan. 23, 2016
Dec. 17, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$75,000,000
|
$75,000,000
|
Jinsook Ohta | In re: Qualcomm Incorporate... |
Aug. 14, 2025
Sep. 27, 2024 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Michael R. Smith, Carole Sm... |
Jan. 16, 2016
Sep. 3, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kenneth A. Schilling, Lesle... |
Jun. 21, 2014
Jun. 3, 2014 |
|
|
Securities
Suitability |
Respondent | Michael Terry Nalewaja v. T... |
Apr. 10, 2020
Feb. 18, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$685,579
|
$685,579
|
Ralph A. Cotton | Bonnie Bolle, individually ... |
Jan. 26, 2018
Dec. 20, 2017 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Settlement/Expungement |
Michael Rocco and Christian... |
Jan. 28, 2012
Dec. 30, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$18,000,000
|
$18,000,000
|
Edward M. Chen | Nicholas R. Ingrao, Derivat... |
Feb. 25, 2022
Jan. 28, 2022 |
|
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
Expungement |
Expungement | Richard J. Kaplan | Marc Layne Lowell v. Argent... |
Jun. 21, 2019
Apr. 23, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Paul Norman v. Citigroup Gl... |
Mar. 13, 2010
Feb. 25, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$3,100
|
$3,100
|
Raymond M. Kirtley | Jamar Evans v. E-Trade Secu... |
Oct. 6, 2017
Sep. 1, 2017 |
|
Securities
Expungement |
Expungement | Mark S. Priver | Mark Edward Schulten v. Cit... |
Feb. 16, 2018
Nov. 29, 2017 |
|
Securities
Expungement |
Claimant | Robert D. Sussin | Lisa Ann Detanna v. Citigro... |
Nov. 29, 2019
Oct. 7, 2019 |
|
Securities
Securities Fraud
Verdict:
$577,000
|
$577,000
|
Securities and Exchange Com... |
Sep. 24, 2016
Sep. 1, 2016 |
|
|
Securities
Sale of Business
Verdict:
$301,000
|
$301,000
|
Ernest M. Hiroshige | Robert Sagehorn, Thomas Sag... |
Sep. 3, 2005
Jul. 1, 2005 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$32,710
|
$32,710
|
Thomas R. Watkins | David Caidar, individually ... |
Feb. 1, 2019
Dec. 7, 2018 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$3,487,240
|
$3,487,240
|
Diane Truly, individually a... |
Feb. 3, 2007
Nov. 28, 2006 |
|
|
Securities
Expungement |
Claimant | Brian J. Rener v. UBS Finan... |
Jan. 10, 2020
Oct. 28, 2019 |