57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ferdinand Schoch | Lanek Limited, Kevin McCurd... |
Dec. 9, 2006
Jul. 31, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
G. Arnold Lawton, G. Arnold... |
Jul. 9, 2011
May 20, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Richard E. Schreiber IRA an... |
Jul. 2, 2011
May 10, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$477,728
|
$477,728
|
RBC Wealth Management, a di... |
Jul. 2, 2011
May 9, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Beth M. Goldman, Jay Boekel... |
Jun. 18, 2011
May 4, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Kenneth A. Kinko | Gerald Montiel v. Newbridge... |
Dec. 9, 2006
Aug. 3, 2006 |
|
Securities
Expungement |
Respondent | Cynthia Mary Couyoumjian v.... |
Mar. 13, 2020
Nov. 8, 2019 |
|
|
Securities
Breach of Contract
Verdict:
$90,474
|
$90,474
|
Charles Schwab & Co., Inc. ... |
Apr. 14, 2007
Jul. 28, 2006 |
|
|
Securities
Securities Fraud
Verdict:
$831,860
|
$831,860
|
Robert E. Lee, individually... |
Nov. 5, 2011
Jul. 29, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
R. Kent Emigh, individually... |
Aug. 27, 2011
Aug. 2, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$49,976
|
$49,976
|
Judith A. Malone v. Fidelit... |
Nov. 5, 2011
Jul. 30, 2011 |
|
|
Securities
Breach of Contract |
Expungement | Kirtley M. Thiesmeyer | Charles Schwab & Co. Inc. v... |
Jan. 12, 2018
Jun. 19, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kelsey Phipps Living Trust ... |
Apr. 1, 2006
Dec. 24, 2005 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Gregory Allen Headrick v. U... |
May 30, 2013
May 19, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Michael Shinkle v. Oak Tree... |
Dec. 9, 2006
Aug. 22, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Bobby Dean Taylor v. Banc o... |
Apr. 1, 2006
Nov. 23, 2005 |
|
|
Securities
Securities Fraud
Verdict:
$60,000
|
$60,000
|
Herbert Liberman | Nigel Timms v. Morgan Stanl... |
Feb. 9, 2018
Jan. 2, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Kurtis Fechtmeyer v. Pacifi... |
Apr. 1, 2006
Aug. 31, 2005 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ronald L. Gershon | Patrick J. Schachle v. Merr... |
Dec. 9, 2006
Aug. 15, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$667,725
|
$667,725
|
Gerald W. Hepp | Carpenter Law Firm Defined ... |
Jun. 14, 2019
Apr. 29, 2019 |
|
Securities
Securities Fraud
Verdict:
$147,000,000
|
$147,000,000
|
Securities and Exchange Com... |
Mar. 26, 2016
Feb. 23, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$2,800,000
|
$2,800,000
|
Securities and Exchange Com... |
Mar. 19, 2016
Feb. 23, 2016 |
|
|
Securities
NASD
Verdict:
$51,446
|
$51,446
|
John J. George | Kelli Jones v. Salomon Smit... |
Dec. 23, 2006
May 2, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
RESPONDENTS |
Howard Shannon | Leilah D. Schou v. RBC Dain... |
Apr. 22, 2006
Dec. 22, 2005 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent. |
Elliott Z. Seff | Landis S. Everson, Trustee ... |
May 27, 2006
Sep. 2, 2005 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents. |
William W. Haskell | Gulabben B. Patel v. Wells ... |
Apr. 22, 2006
Sep. 14, 2005 |
|
Securities
Expungement |
Expungement | Charles Michaels | Jon Ronald Springer v. Cete... |
Feb. 2, 2018
Dec. 18, 2017 |
|
Securities
Securities Fraud
Verdict:
$3,000,000
|
$3,000,000
|
Burt Weston, on behalf of h... |
Feb. 8, 2014
Dec. 16, 2013 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Martin Brookes v. Matthew J... |
Sep. 22, 2012
Aug. 30, 2012 |
|
|
Securities
Stocks
Verdict:
$329,239
|
$329,239
|
Joan Kushner, Michael Eggim... |
Sep. 22, 2012
Aug. 30, 2012 |