57592 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$19,750,000
|
$19,750,000
|
In re SunPower Securities L... |
Apr. 27, 2013
Feb. 1, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Georgia Alexander v. Citigr... |
Dec. 14, 2013
Apr. 10, 2013 |
|
|
Securities
Securities Fraud |
Expungement | William M. Samsel | Laurie Seeman, an individua... |
Oct. 6, 2017
Sep. 1, 2017 |
|
Securities
Breach of Contract
Verdict:
$385,000
|
$385,000
|
Paul E. Dahlman | Philip Harper and Amanda Ha... |
Mar. 1, 2019
Jan. 3, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Floyd Matheney IRA, Mary Ma... |
May 4, 2013
Apr. 12, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Easton Limited Partneship v... |
Aug. 18, 2012
Jul. 24, 2012 |
|
|
Securities
NASD
Verdict:
$1,560,000
|
$1,560,000
|
Lance R. Freed, Judith Fish... |
Nov. 11, 2006
Jan. 25, 2006 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Lewis Wilder, as Trustee fo... |
Oct. 18, 2014
Mar. 31, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$50,000
|
$50,000
|
George W. Harding | Howard Brinkerhoff v. Charl... |
Dec. 22, 2017
Nov. 9, 2017 |
|
Securities
Expungement |
Expungement | Kent Douglas Kuhlmann v. LP... |
Mar. 20, 2020
Nov. 26, 2019 |
|
|
Securities
Breach of Promissory Note
Verdict:
$175,734
|
$175,734
|
Ameriprise Financial Servic... |
Apr. 26, 2014
Mar. 28, 2014 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Defense |
Life Receivables Ireland, L... |
May 5, 2012
May 4, 2011 |
|
|
Securities
Fraud
Verdict:
$3,393,180
|
$3,393,180
|
Securities and Exchange Com... |
May 14, 2011
Aug. 12, 2010 |
|
|
Securities
CRD Records |
Expungement Denied | Herbert Liberman | Shareholders Service Group ... |
Aug. 25, 2017
Jul. 19, 2017 |
|
Securities
Fraud
Verdict:
$10,390,000
|
$10,390,000
|
Securities and Exchange Com... |
Sep. 22, 2007
Apr. 6, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$88,470
|
$88,470
|
Victor Chang, individually ... |
Oct. 31, 2009
Sep. 10, 2009 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Donald L. Tasto and Jennife... |
Mar. 31, 2007
Feb. 9, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Patricia Tynan Chapman, ind... |
Dec. 31, 2010
Nov. 29, 2010 |
|
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Matthew Martin Howley v. Me... |
Apr. 5, 2019
Mar. 4, 2019 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Michael Banayan v. Morgan S... |
Apr. 10, 2010
Mar. 12, 2010 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Bob Rogers, in his individu... |
Dec. 28, 2018
Sep. 26, 2018 |
|
Securities
Tort
Verdict:
$0
|
$0
|
William F. Highberger | Robert Solomon v. U.S. Trus... |
Apr. 8, 2003
Oct. 25, 2002 |
|
Securities
Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Michael McPhail, Robert Bar... |
Mar. 7, 2009
Nov. 10, 2008 |
|
|
Securities
Breach of Contract
Verdict:
$8,011,530
|
$8,011,530
|
Amit Gupta v. Morgan Stanle... |
Sep. 21, 2013
Aug. 29, 2013 |
|
|
Securities
Fraud and Gross Negligence |
Respondent | Peter H. Daly | E. Thomas Clark Jr., aka El... |
Nov. 10, 2017
Sep. 11, 2017 |
|
Securities
NASD
Verdict:
$76,600
|
$76,600
|
James S. Dickerson on behal... |
Oct. 28, 2006
Jan. 26, 2006 |
|
|
Securities
Breach of Duty
Verdict:
$3,750,000
|
$3,750,000
|
In re Agria Corporation |
Nov. 6, 2010
|
|
|
Securities
Securities Exchange Act
Verdict:
$3,250,000
|
$3,250,000
|
Susan Y. Illston | Jay Rabkin, individually an... |
Jan. 25, 2019
Sep. 28, 2018 |
|
Securities
Securities Fraud
Verdict:
$147,000,000
|
$147,000,000
|
Securities and Exchange Com... |
Mar. 26, 2016
Feb. 23, 2016 |
|
|
Securities
Expungement |
Expungement | Kevin K. Forrester | Nisha Sandeep Varma v. LPL ... |
May 31, 2019
Apr. 4, 2019 |