57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$62,500,000
|
$62,500,000
|
The City of Farmington Hill... |
Sep. 13, 2014
Aug. 18, 2014 |
|
|
Securities
Commodities |
Dismissal | William H. Orrick III | John E. Golub, individually... |
Jan. 24, 2020
Sep. 3, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Jaimie Davis v. WFP Securit... |
Apr. 14, 2012
Feb. 29, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$50,000
|
$50,000
|
George W. Harding | Howard Brinkerhoff v. Charl... |
Dec. 22, 2017
Nov. 9, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$49,965
|
$49,965
|
Jesus G. Bernal | Securities and Exchange Com... |
Oct. 30, 2020
Sep. 3, 2020 |
|
Securities
Breach of Contract
Verdict:
$5,676
|
$5,676
|
Andrew Y. Wasa, Henry J. Fe... |
Nov. 27, 2010
Nov. 2, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$38,000,000
|
$38,000,000
|
In re Questcor Pharmaceutic... |
Jul. 11, 2015
May 27, 2015 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Anoshiravan Afrasiabi v. Ma... |
Nov. 9, 2013
Oct. 28, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Frances Lamm-Roberts, as an... |
Nov. 9, 2013
Oct. 25, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Clara M. Hickle v. Wells Fa... |
Jan. 19, 2013
Dec. 31, 2012 |
|
|
Securities
Fraud
Verdict:
$185,946
|
$185,946
|
U.S. Securities and Exchang... |
Feb. 14, 2009
Nov. 12, 2008 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Ikho Kang, Unsoon K. Kang v... |
Dec. 6, 2008
Oct. 17, 2008 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
AREI II CASES |
Mar. 14, 2015
Jan. 27, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Flora J. Tisherman IRA, San... |
Feb. 16, 2013
Jan. 31, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$437,626
|
$437,626
|
Manuel Bernal, Jean Bernal,... |
Oct. 22, 2011
Jul. 25, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$5,000 (against Wells Fargo) |
Walter Cole and Antoinette ... |
May 29, 2010
May 6, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
David J. Foster on behalf o... |
Aug. 21, 2010
Aug. 5, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$26,050
|
$26,050
|
U.S. Bancorp Investments In... |
Oct. 13, 2012
Sep. 11, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Robert R. Banks, Robert R. ... |
Oct. 22, 2011
Jul. 22, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement |
In re Wireless Facilities I... |
Oct. 9, 2010
Apr. 29, 2010 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Donald Stunkart v. Edward J... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Verdict for respondent Morgan Stanley Smith Barney |
Oliver Schwarz v. Citigroup... |
Jul. 21, 2012
Jun. 4, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$510,889
|
$510,889
|
Negotiart of America Inc. v... |
Mar. 1, 2014
Feb. 6, 2014 |
|
|
Securities
Fraud
Verdict:
$55,000
|
$55,000
|
Securities and Exchange Com... |
Dec. 27, 2008
May 20, 2008 |
|
|
Securities
Stock Fraud
Verdict:
$0
|
$0
|
Madeleine I. Flier | C3 Enterprises v. George W.... |
Oct. 23, 1993
Sep. 24, 1993 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement granted |
Joan L. Shapiro, as Trustee... |
Jul. 14, 2012
Jun. 8, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$8,750,000
|
$8,750,000
|
Samuel Hildenbrand, on beha... |
Feb. 8, 2014
Mar. 1, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
$57,000,000 (as of May 3, 2010) |
In re Sequenom, Inc. Securi... |
Sep. 4, 2010
Aug. 27, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$20,000,000
|
$20,000,000
|
Bhushan Athale, individuall... |
Feb. 8, 2014
May 16, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Christopher Gaertner, Jacqu... |
Dec. 28, 2013
Nov. 22, 2013 |