57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
For respondent Goldman, Sachs & Co. |
Geradons, S.L., Salvador Po... |
Jan. 5, 2008
Nov. 15, 2007 |
|
|
Securities
Arbitration
Verdict:
$226,590
|
$226,590
|
Laurie J. Butler | Gertraude Nye v. First Sout... |
Nov. 29, 1997
Jul. 2, 1997 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Felyce Thomas v. James B. C... |
Nov. 28, 2015
Oct. 29, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$150,000
|
$150,000
|
Securities and Exchange Com... |
Aug. 14, 2010
Jan. 24, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Flaherty & Crumrine Preferr... |
Aug. 28, 2010
Jun. 23, 2010 |
|
|
Securities
Fraud
Verdict:
$751,000
|
$751,000
|
Dzintra Janavs | Richard Crowther v. Richard... |
Oct. 31, 1998
Jul. 31, 1998 |
|
Securities
Securities Fraud
Verdict:
$775,000
|
$775,000
|
Christina A. Snyder | Ashkan Farazmand, derivativ... |
Jan. 10, 2025
Oct. 30, 2024 |
|
Securities
Falsification of Records
Verdict:
-$1
|
-$1
Mixed Result |
Department of Market Regula... |
Jul. 9, 2016
Apr. 4, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$542,121
|
$542,121
|
Josephine L. Staton | Securities and Exchange Com... |
Jan. 17, 2025
Sep. 12, 2024 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
The Donald J. Adams Trust v... |
May 23, 2015
Mar. 13, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Move Inc. v. Citigroup Glob... |
May 23, 2015
Sep. 22, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$150,000
|
$150,000
|
Steve Roof v. Sterling C. S... |
May 30, 2015
Apr. 21, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$19,167
|
$19,167
|
Harry R. Lynn, as Trustee o... |
Jul. 17, 2010
Jun. 21, 2010 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Dismissal |
Sandra Lifschitz v. Nextwav... |
May 12, 2012
Nov. 21, 2011 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent; Expungement |
Margaret A. Lucas v. Mannin... |
Nov. 28, 2015
Oct. 31, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Joseph Curry, individually ... |
May 16, 2015
Apr. 21, 2015 |
|
|
Securities
Securities Fraud |
Injunctive Relief | Stanley Blumenfeld Jr. | Securities and Exchange Com... |
Jul. 30, 2021
Jul. 2, 2021 |
|
Securities
Securities Fraud
Verdict:
$1,250,000
|
$1,250,000
|
Beth L. Freeman | Spencer Wong, Individually ... |
Apr. 23, 2021
Mar. 25, 2021 |
|
Securities
Employment
Verdict:
$9,265
|
$9,265
|
Dwayne Mark Peltier v. UBS ... |
Nov. 30, 2013
Nov. 8, 2013 |
|
|
Securities
Stocks
Verdict:
$23,500,000
|
$23,500,000
|
In re Constar International... |
Nov. 17, 2012
Sep. 14, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Gerhard Rohloff individuall... |
Nov. 3, 2012
Oct. 5, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,000,000
|
$1,000,000
|
Haywood S. Gilliam Jr. | Christopher Vataj v. Willia... |
Jul. 23, 2021
Apr. 20, 2021 |
|
Securities
Securities Fraud
Verdict:
$247,000
|
$247,000
|
Lucy Mattinen, John Mattine... |
Nov. 3, 2012
Oct. 3, 2012 |
|
|
Securities
Lending
Verdict:
-$1
|
-$1
Mixed |
Pacific Select Fund v. Bank... |
Mar. 17, 2012
Jan. 30, 2012 |
|
|
Securities
Negligence
Verdict:
$12,133
|
$12,133
|
Peter P. Reddy Sr. v. E*Tra... |
Mar. 24, 2012
Jan. 17, 2012 |
|
|
Securities
CLRA
Verdict:
$23,000
|
$23,000
|
P. Anne Giannini v. Raymond... |
Mar. 17, 2012
Feb. 1, 2012 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent |
Margaret A. Wendt v. UBS Fi... |
Mar. 17, 2012
Jan. 30, 2012 |
|
|
Securities
|
Defense | Glenn R. Salter | Ahmed D. Hussein v. Sheldon... |
Aug. 13, 2021
Jul. 29, 2021 |
|
Securities
Violation of the Securities Act
Verdict:
$1,700,000
|
$1,700,000
|
Securities and Exchange Com... |
Jun. 29, 2013
Jun. 7, 2013 |
|
|
Securities
NASD
Verdict:
$272,624
|
$272,624
|
Abel C. Crespo and Eva A. C... |
Dec. 16, 2006
May 9, 2006 |