57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Ray Pollard, successor Trus... |
Nov. 10, 2017
Sep. 21, 2017 |
|
Securities
Securities Fraud |
Respondent | Theresa Taylor v. Interacti... |
Feb. 7, 2020
Oct. 31, 2019 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Bart Sullivan Inc., Bart Su... |
Mar. 22, 2014
Mar. 4, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiff |
U.S. Securities and Exchang... |
Sep. 7, 2013
Aug. 16, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert Rosen | Jason Hallmark v. John Davi... |
Aug. 25, 2017
Jul. 14, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,188,850
|
$1,188,850
|
Eugene Elliott, Shawn Ellio... |
Nov. 28, 2015
Oct. 20, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joe Solorsa v. Wells Fargo ... |
Nov. 28, 2015
Oct. 14, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$125,000
|
$125,000
|
Jon and Colleen Levin, indi... |
Nov. 28, 2015
Oct. 22, 2015 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
George Sardeson, Florence T... |
Dec. 30, 2006
Apr. 21, 2006 |
|
|
Securities
Fraud
Verdict:
$338,000
|
$338,000
|
Rose Kramer, Stanley Kramer... |
Jun. 16, 2012
May 25, 2012 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Thomas L. Marshall | Norman Lipson v. RBC Capita... |
Apr. 5, 2019
Feb. 7, 2019 |
|
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 | Mark William Lininger v. RB... |
Apr. 17, 2020
Feb. 4, 2020 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Permanent Injunction |
Securities and Exchange Com... |
Feb. 7, 2015
Aug. 1, 2014 |
|
|
Securities
Negligence
Verdict:
$813,475
|
$813,475
|
Mary Tiscornia, Jennifer Ti... |
Nov. 28, 2015
Nov. 4, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
In re Resonant Inc. Securit... |
Sep. 17, 2016
Jul. 11, 2016 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Cyrus Tabaz v. J.P. Morgan ... |
Nov. 28, 2015
Nov. 3, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement denied |
Steven J. Jensen, Nancy Jen... |
Nov. 28, 2015
Nov. 2, 2015 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Dismissal |
Christopher D. White v. Ric... |
Feb. 15, 2014
Jan. 28, 2014 |
|
|
Securities
CRD Records |
Expungement Denied | Herbert Liberman | Shareholders Service Group ... |
Aug. 25, 2017
Jul. 19, 2017 |
|
Securities
Expungement |
Expungement | Elliott D. Finkel | David Hunt v. Merrill Lynch... |
Apr. 10, 2020
Feb. 24, 2020 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Philip Ashburn, Connie John... |
Feb. 16, 2013
Jan. 31, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
RESPONDENTS |
Howard Shannon | Leilah D. Schou v. RBC Dain... |
Apr. 22, 2006
Dec. 22, 2005 |
|
Securities
Financial Abuse of an Elder or Dependent Adult,
Verdict:
$160,000
|
$160,000
|
Philip A. Tymon | Jack Paich v. BluePrint Wea... |
Sep. 8, 2017
Jun. 15, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$2,400,000
|
$2,400,000
|
Anthony J. Battaglia | Mohammed Usman Ali, individ... |
May 10, 2024
May 24, 2023 |
|
Securities
Expungement |
Claimant | George L. Tindall | Steven Craig Henningson v. ... |
Nov. 29, 2019
Oct. 8, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Janet Garcie, Walter Grossk... |
Jun. 23, 2012
May 31, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent. |
Elliott Z. Seff | Landis S. Everson, Trustee ... |
May 27, 2006
Sep. 2, 2005 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
M. C. Otis, individually an... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Lacey Odis Patrick Corbett ... |
Sep. 29, 2012
Aug. 30, 2012 |