57608 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
R. Carlton Seaver | Rene Garcia v. Morgan Stanl... |
May 6, 2006
Jan. 11, 2006 |
Securities
Securities Exchange Act
Verdict:
$8,500,000
|
$8,500,000
|
John F. Walter | In re: Stable Road Acquisit... |
Feb. 9, 2024
Sep. 20, 2023 |
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
William Erickson v. Joe Rex... |
Apr. 17, 2010
Mar. 22, 2010 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Brad A. Baggarly, SEP-IRA v... |
Jul. 2, 2011
May 9, 2011 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mariam Nigohosian v. Charie... |
Mar. 8, 2014
Feb. 11, 2014 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Standard Credit Securities ... |
Mar. 8, 2014
Feb. 12, 2014 |
|
Securities
Negligence |
Respondent | Ruth Forester v. Randall Sc... |
Jul. 17, 2020
Mar. 19, 2020 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Richman Bry Jr. v. Kevin Ja... |
Nov. 3, 2012
Oct. 4, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Irvine Jay Welch III v. Dwa... |
Jan. 12, 2013
Dec. 20, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Randy Greene, Tanya Greene ... |
Dec. 13, 2014
Nov. 12, 2014 |
|
Securities
Violation of the Securities Act
Verdict:
$225,000
|
$225,000
|
Securities and Exchange Com... |
Jun. 15, 2013
Jun. 3, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$450,000
|
$450,000
|
Bernard Krasnow | Confidential |
Oct. 12, 1996
Aug. 22, 1996 |
Securities
Securities Fraud
Verdict:
$3,768,330
|
$3,768,330
|
Robert Stanger v. China Ele... |
Jun. 22, 2013
Jun. 3, 2013 |
|
Securities
Breach of Fiduciary Duty |
Non-monetary relief | Susan Y. Illston | In re: Zuora Inc. Derivativ... |
Mar. 22, 2024
Sep. 15, 2023 |
Securities
Breach of Fiduciary Duty |
Respondent | Annabelle Datzker Trust, as... |
Jun. 19, 2020
Mar. 19, 2020 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$23,761
|
$23,761
|
Securities and Exchange Com... |
Jul. 30, 2011
Jun. 8, 2011 |
|
Securities
Securities Fraud
Verdict:
$16,000,000
|
$16,000,000
|
Lucy H. Koh | SEB Investment Management A... |
Dec. 30, 2021
Nov. 2, 2021 |
Securities
Securities Fraud
Verdict:
$90,000
|
$90,000
|
Keith D. Miller, Individual... |
Jan. 26, 2013
Jan. 8, 2013 |
|
Securities
Securities Fraud
Verdict:
$43,288,700
|
$43,288,700
|
Securities and Exchange Com... |
Jun. 14, 2014
May 23, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Patricia Tynan Chapman, ind... |
Dec. 31, 2010
Nov. 29, 2010 |
|
Securities
Breach of Duty |
Respondent | Thomas Hirsch v. Merrill Ly... |
Jul. 17, 2020
Mar. 24, 2020 |
|
Securities
Unauthorized Transfer
Verdict:
$212,000
|
$212,000
|
Sally G. Williams | Hazel Kitzman, individually... |
Sep. 29, 2017
Sep. 8, 2017 |
Securities
Breach of Contract
Verdict:
$326,176
|
$326,176
|
Credit Suisse Securities (U... |
Jan. 29, 2011
Dec. 30, 2010 |
|
Securities
Securities Fraud
Verdict:
$10,000,000
|
$10,000,000
|
Larry A. Burns | Ervin Derr and Peter Shoema... |
Sep. 23, 2022
Aug. 15, 2022 |
Securities
Commodities
Verdict:
$3,000,000
|
$3,000,000
|
Securities and Exchange Com... |
Apr. 30, 2011
Mar. 22, 2011 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Preliminary Injunction Granted |
Securities and Exchange Com... |
Dec. 6, 2014
Nov. 10, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Letitia McKee Cooper, Coope... |
Feb. 4, 2017
Nov. 15, 2016 |
|
Securities
Expungement |
Expungement | Martin M. Van Luven | Stephen Gerard Rossi Sr. v.... |
Dec. 15, 2017
Nov. 1, 2017 |
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Jeffrey Harris and Mary And... |
Mar. 31, 2007
Feb. 2, 2007 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mari F. Palash and Andrea L... |
Mar. 31, 2007
Feb. 22, 2007 |