57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Supplemental Disclosures |
Suzanne Newman, individuall... |
Mar. 1, 2014
Jan. 28, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Memorandum of Understanding |
Hilary Coyne v. MPG Office ... |
Jul. 27, 2013
Jul. 10, 2013 |
|
|
Securities
Expungement |
Claimant | Peter Carmine Covino v. VSR... |
Aug. 7, 2020
Mar. 31, 2020 |
|
|
Securities
Negligence
Verdict:
$442,072
|
$442,072
|
Snow E. Jaynes, individuall... |
Sep. 14, 2013
Aug. 30, 2013 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Susi Orlean Bahat Family Tr... |
Sep. 20, 2014
Aug. 28, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Raymond James Financial Ser... |
Jun. 12, 2010
May 20, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$88,470
|
$88,470
|
Victor Chang, individually ... |
Oct. 31, 2009
Sep. 10, 2009 |
|
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Ronald Mark Daly v. Piper J... |
Dec. 15, 2017
Nov. 6, 2017 |
|
Securities
Securities Exchange Act |
Dismissal | Maxine M. Chesney | In re: Cloudera Inc. Securi... |
Jan. 13, 2023
Oct. 20, 2022 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
Church Resource Ministries ... |
Apr. 2, 2011
Feb. 18, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Mixed |
Anthony and Debra Hanna, in... |
May 12, 2012
Oct. 13, 2011 |
|
|
Securities
Securities Fraud |
Respondent | Lyle LaMothe v. Merrill Lyn... |
May 29, 2020
Feb. 25, 2020 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Mark Alloy v. McLaughlin, P... |
Dec. 2, 2006
Sep. 13, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$29,547
|
$29,547
|
Stacy Ann Gale v. E-Trade S... |
Apr. 12, 2014
Mar. 20, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Irvine Jay Welch III v. Dwa... |
Jan. 12, 2013
Dec. 20, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$18,250,000
|
$18,250,000
|
Jon S. Tigar | Logan Hessefort, individual... |
Mar. 3, 2023
Nov. 8, 2022 |
|
Securities
|
Claimant | Al Zvinakis as Holder of FP... |
Jan. 3, 2020
Oct. 18, 2019 |
|
|
Securities
Fraud
Verdict:
$872,000
|
$872,000
|
Securities and Exchange Com... |
Dec. 29, 2007
Sep. 12, 2007 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Thomas Frances Nelson v. UB... |
Jan. 3, 2015
Apr. 29, 2014 |
|
|
Securities
Securities Exchange Act |
Defense | Todd W. Robinson | In re: Anaptysbio Inc. Secu... |
Jan. 13, 2023
Nov. 30, 2021 |
|
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:
$1,460,000
|
$1,460,000
|
Horace Grant v. Morgan Keeg... |
Oct. 24, 2009
Sep. 11, 2009 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Martha L. Meripol IRA, Rona... |
Sep. 20, 2014
Aug. 28, 2014 |
|
|
Securities
Expungement |
Expungement | Barbara M. Zak | Adam Scot Goldstein v. Amer... |
Mar. 1, 2019
Dec. 28, 2018 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Eliseo Alatorre v. Unionban... |
Apr. 6, 2013
Mar. 21, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$6,840,320
|
$6,840,320
|
Securities and Exchange Com... |
Mar. 19, 2011
Jul. 29, 2010 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Feb. 9, 2013
Jan. 23, 2013 |
|
|
Securities
Expungement |
Claimant | George L. Tindall | Gal Sherman v. Equity Servi... |
Dec. 20, 2019
Oct. 10, 2019 |
|
Securities
Fraud
Verdict:
$117,500,000
|
$117,500,000
|
In re Mercury Interactive C... |
Dec. 1, 2007
|
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Permanent Injunction |
U.S. Bancorp Investments In... |
May 18, 2013
May 2, 2013 |