57592 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Claimant | Robert Eric Rose v. Morgan ... |
Feb. 7, 2020
Nov. 13, 2019 |
|
|
Securities
Securities Fraud |
Respondent | Schneider Family Limited Pa... |
Jun. 28, 2019
May 2, 2019 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Massachusetts Mutual Life I... |
Sep. 1, 2012
Apr. 16, 2012 |
|
|
Securities
Fraud
Verdict:
$338,000
|
$338,000
|
Rose Kramer, Stanley Kramer... |
Jun. 16, 2012
May 25, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$29,547
|
$29,547
|
Stacy Ann Gale v. E-Trade S... |
Apr. 12, 2014
Mar. 20, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Barnard Lewis Family Trust ... |
Jun. 30, 2012
May 29, 2012 |
|
|
Securities
Expungement |
Respondent | Cynthia Mary Couyoumjian v.... |
Mar. 13, 2020
Nov. 8, 2019 |
|
|
Securities
Negligence
Verdict:
$207,500
|
$207,500
|
Ken Kragen v. Wedbush Secur... |
Jun. 23, 2012
Apr. 12, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$160,500,000
|
$160,500,000
|
In re Broadcom Corp. Class ... |
Feb. 6, 2010
Dec. 29, 2009 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Dismissal |
Joel Krieger v. Atheros Com... |
Jul. 7, 2012
May 29, 2012 |
|
|
Securities
Breach of Duty
Verdict:
$9,400
|
$9,400
|
Robert J. Buchner | Martin Feins, Trustee of th... |
Dec. 8, 2017
Nov. 7, 2017 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Randall B. Christison | Barbara Freeman v. J.P. Mor... |
Feb. 1, 2019
Dec. 4, 2018 |
|
Securities
Expungement |
Expungement | Lauren Ann Gidley v. First ... |
May 24, 2019
Apr. 10, 2019 |
|
|
Securities
Fraud
Verdict:
$58,183
|
$58,183
|
James H. Donell, Receiver f... |
Jan. 3, 2015
Apr. 29, 2014 |
|
|
Securities
Expungement |
Claimant | Mark A. Law v. LPL Financia... |
Jan. 10, 2020
Nov. 4, 2019 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Louis Saadeh, individually ... |
Dec. 20, 2014
May 21, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement Denied |
Arthur A. Torrellas, First ... |
Aug. 20, 2016
May 12, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Kendall C. Reed | Roger Richman v. Citigroup ... |
Apr. 15, 2006
Oct. 21, 2005 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$750,000
|
$750,000
|
Hillcrest Children's Center... |
May 31, 2014
May 12, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Marc C. Seward v. Securitie... |
Aug. 20, 2016
May 24, 2016 |
|
|
Securities
Violations of Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Tom Palny, Xuecheng Yang v.... |
May 31, 2014
May 13, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Joseph Sanberg v. Fidelity ... |
Aug. 20, 2016
May 26, 2016 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Maged T. Ebrahim v. E-Trade... |
Aug. 13, 2016
Apr. 20, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
K&M Dattani Irrevocable Tru... |
Apr. 6, 2013
Mar. 22, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$2,300,000
|
$2,300,000
|
Mark C. Scarsi | Securities and Exchange Com... |
Apr. 8, 2022
Mar. 9, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$4,800,000
|
$4,800,000
|
In Re American Apparel Inc.... |
May 31, 2014
Apr. 16, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Janet Garcie, Walter Grossk... |
Jun. 23, 2012
May 31, 2012 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Josette S. Hatter IRA; Rodn... |
Oct. 6, 2017
Aug. 10, 2017 |
|
Securities
Commodities
Verdict:
-$1
|
-$1
Dismissal |
Western and Southern Life I... |
Sep. 1, 2012
Jun. 29, 2012 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In Re Finisar Corporation S... |
Feb. 9, 2013
Jan. 16, 2013 |