57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Fraud
Verdict:
$1,400,000,000
|
$1,400,000,000
|
The People of the State of ... |
Jul. 10, 2010
Jun. 22, 2010 |
|
|
Securities
Securities Exchange Act |
Dismissal | Stanley Blumenfeld Jr. | Ed J. Hershewe, individuall... |
Nov. 11, 2022
Mar. 10, 2022 |
|
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
Breach of Fiduciary Duty |
Respondent | Thomas E. Shuck | Paul Michel v. E-Trade Secu... |
Sep. 1, 2017
Jun. 7, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Richard Norman | Simco Company v. E-Trade Se... |
Sep. 1, 2017
Jun. 23, 2017 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Philip Ashburn, Connie John... |
Feb. 16, 2013
Jan. 31, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$127,000
|
$127,000
|
William M. Samsel | Pamela Palmer v. Morgan Sta... |
May 17, 2019
Apr. 2, 2019 |
|
Securities
Fraud |
Respondent | Benjamin F. Breslauer | Jorge Casas IRA v. FAS Team... |
Sep. 1, 2017
May 30, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$20,000
|
$20,000
|
Richard Watts, Sally W. Wat... |
Sep. 17, 2011
Jun. 17, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
Metal Finishing Association... |
Sep. 17, 2011
Jun. 9, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$120,362
|
$120,362
|
Morgan Stanley Smith Barney... |
Sep. 24, 2011
May 3, 2011 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Ray J. Grzebielski | Nicholas McClanahan v. Merr... |
Apr. 12, 2019
Feb. 1, 2019 |
|
Securities
Expungement |
Expungement | Joyce L. Hurley | Jeffery M. Sorensen v. Tran... |
May 17, 2019
Apr. 1, 2019 |
|
Securities
Securities Exchange Act |
Expungement | Janice L. Sperow | John Coughlin v. Stifel, Ni... |
Jan. 11, 2019
Oct. 17, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$67,869
|
$67,869
|
Nancy J. Edmunds | Scott J. Tepper, as trustee... |
Jun. 7, 2019
Apr. 3, 2019 |
|
Securities
Defamation
Verdict:
$400,000
|
$400,000
|
Arthur T. Berggren | Michael William Sexton v. B... |
Feb. 9, 2018
Dec. 28, 2017 |
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement Denied |
Randall Larry Krenzin v. Me... |
Jun. 27, 2015
Mar. 4, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,100,000
|
$1,100,000
|
Fernando M. Olguin | Arthur Kaye IRA FCC as Cust... |
Jan. 11, 2019
Dec. 10, 2018 |
|
Securities
Lending
Verdict:
$24,975,000
|
$24,975,000
|
City of Ann Arbor Employees... |
Oct. 13, 2012
Sep. 11, 2012 |
|
|
Securities
Expungement |
Expungement | Matt Ward v. Euro Pacific C... |
May 24, 2019
Apr. 16, 2019 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Scott Lambert, Laura Lamber... |
Mar. 15, 2014
Feb. 11, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Wayne C. Conlee, individual... |
Mar. 8, 2014
Jan. 21, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$1,618,880
|
$1,618,880
|
Preferred Scan Inc., Alex N... |
Mar. 7, 2015
Jan. 27, 2015 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Joseph R. Loprieato, Peggy ... |
May 24, 2014
Apr. 29, 2014 |
|
|
Securities
Violation of the Securities Act
Verdict:
$1,700,000
|
$1,700,000
|
Securities and Exchange Com... |
Jun. 29, 2013
Jun. 7, 2013 |
|
|
Securities
Commodities
Verdict:
$4,906,950
|
$4,906,950
|
Jon S. Tigar | Securities and Exchange Com... |
Mar. 22, 2024
May 30, 2023 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Corinne DeGiorgio Fond v. M... |
Jun. 27, 2015
Apr. 27, 2015 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Preliminary Injunction Granted |
Greenlight Capital LP et al... |
Mar. 9, 2013
Feb. 22, 2013 |
|
|
Securities
Expungement |
Expungement | Ronald Louis Valpey v. Merr... |
May 24, 2019
Apr. 11, 2019 |