57608 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Suitability |
Dismissal | James D. Knotter | Dolan Family Trust Account ... |
Apr. 19, 2019
Feb. 1, 2019 |
|
Securities
Expungement |
Expungement | Barbara M. Zak | Antoine Nabih Souma v. UBS ... |
Apr. 19, 2019
Feb. 4, 2019 |
|
Securities
Securities Exchange Act
Verdict:
$100,000
|
$100,000
|
John F. Walter | Securities and Exchange Com... |
Apr. 5, 2019
Feb. 25, 2019 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Mixed |
Anthony and Debra Hanna, in... |
May 12, 2012
Oct. 13, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Glen D. Robertson, Susan L.... |
Mar. 12, 2011
Feb. 17, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Securities and Exchange Com... |
Mar. 19, 2011
Feb. 15, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$102,500,000
|
$102,500,000
|
Edward J. Davila | William Lamartina, individu... |
May 30, 2025
Nov. 26, 2024 |
|
Securities
Securities Exchange Act
Verdict:
$700,000
|
$700,000
|
Charles R. Breyer | Securities and Exchange Com... |
Jul. 2, 2021
Jun. 9, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Memorandum of Understanding |
Hilary Coyne v. MPG Office ... |
Jul. 27, 2013
Jul. 10, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,500,000
|
$3,500,000
|
Phyllis J. Hamilton | In re K12 Inc. Securities L... |
Apr. 12, 2019
Feb. 14, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
Church Resource Ministries ... |
Apr. 2, 2011
Feb. 18, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$6,840,320
|
$6,840,320
|
Securities and Exchange Com... |
Mar. 19, 2011
Jul. 29, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Tamer Salameh, et al., v. T... |
Apr. 30, 2011
Apr. 12, 2011 |
|
|
Securities
Expungement |
Expungement | George L. Tindall | Troy Nicholas Tremblay v. C... |
Mar. 15, 2019
Jan. 14, 2019 |
|
Securities
Expungement |
Claimant | Nicholas V. Economos v. Mer... |
Nov. 1, 2019
Sep. 16, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$510,889
|
$510,889
|
Negotiart of America Inc. v... |
Mar. 1, 2014
Feb. 6, 2014 |
|
|
Securities
Suitability
Verdict:
$277,468
|
$277,468
|
Richard A. Hingley, individ... |
Sep. 13, 2014
Aug. 22, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$2,819,692
|
$2,819,692
|
Jeffrey S. White | Securities and Exchange Com... |
Jun. 24, 2022
Apr. 11, 2022 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,359
|
$1,359
|
WT Acquisition LLC v. E*Tra... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
John Kari Agamalian, John K... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$176,500
|
$176,500
|
Sean Berton v. Cornerstone ... |
Sep. 5, 2015
Jun. 8, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Helen M. Peters, Administra... |
Sep. 12, 2015
May 29, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$3,250,000
|
$3,250,000
|
In re Orion Securities Liti... |
Feb. 19, 2011
Jan. 3, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$487,336
|
$487,336
|
Margaret Farwell Smith, ind... |
Sep. 5, 2015
May 26, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
HSH Family Trust U/A Dated ... |
Sep. 12, 2015
May 22, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
David N. Harvey and Sharon ... |
May 7, 2011
Apr. 13, 2011 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Expungement |
Noriel Anibal Campos v. Bet... |
Sep. 13, 2014
Aug. 27, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$5,676
|
$5,676
|
Andrew Y. Wasa, Henry J. Fe... |
Nov. 27, 2010
Nov. 2, 2010 |
|
|
Securities
Violation of the Securities Act
Verdict:
$6,500,000
|
$6,500,000
|
Tommy Jay Carter v. Affymax... |
Sep. 20, 2014
Aug. 28, 2014 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Susi Orlean Bahat Family Tr... |
Sep. 20, 2014
Aug. 28, 2014 |