57592 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Exchange Act |
Dismissal | Jon S. Tigar | City of Pontiac General Emp... |
Jan. 13, 2023
Mar. 1, 2022 |
|
Securities
Suitability
Verdict:
$277,468
|
$277,468
|
Richard A. Hingley, individ... |
Sep. 13, 2014
Aug. 22, 2014 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement Denied |
Randall Larry Krenzin v. Me... |
Jun. 27, 2015
Mar. 4, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claims Denied |
Muri Trust, Mary K. Byrnes,... |
Oct. 1, 2011
Jul. 19, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Settlement/Expungement |
Michael Rocco and Christian... |
Jan. 28, 2012
Dec. 30, 2011 |
|
|
Securities
Negligence
Verdict:
$323,122
|
$323,122
|
D Vollstedt & S Vollstedt T... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Commodities
Verdict:
$125,000,000
|
$125,000,000
|
New Orleans Employees' Reti... |
Sep. 24, 2011
Jul. 7, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$402,075
|
$402,075
|
Maxine M. Chesney | Securities and Exchange Com... |
Feb. 28, 2025
Dec. 3, 2024 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Jun. 27, 2015
Mar. 6, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Levi Nagel v. UBS Financial... |
Jun. 27, 2015
Apr. 27, 2015 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Deborah Alliano v. Kelley S... |
Feb. 14, 2020
Dec. 19, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$24,000,000
|
$24,000,000
|
William H. Alsup | Julia Junge and Richard Jun... |
Oct. 21, 2022
Sep. 6, 2022 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kimon P. Daifotis v. Jinni ... |
Jun. 18, 2011
May 6, 2011 |
|
|
Securities
Financial Abuse of an Elder or Dependent Adult,
Verdict:
$160,000
|
$160,000
|
Philip A. Tymon | Jack Paich v. BluePrint Wea... |
Sep. 8, 2017
Jun. 15, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$2,600,000
|
$2,600,000
|
Richard Seeborg | Tony Plant, individually an... |
Nov. 11, 2022
May 27, 2021 |
|
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
|
Claimant | Al Zvinakis as Holder of FP... |
Jan. 3, 2020
Oct. 18, 2019 |
|
|
Securities
Fraud
Verdict:
$150,000
|
$150,000
|
Securities and Exchange Com... |
Dec. 10, 2011
Nov. 22, 2011 |
|
|
Securities
Breach of Promissory Note
Verdict:
-$1
|
-$1
$925,200 on Counter-Claim |
Wells Fargo Advisors LLC v.... |
Mar. 29, 2014
Feb. 24, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Stichting Pensioenfonds ABP... |
Sep. 1, 2012
Aug. 9, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Rick Cooper v. Richard Anth... |
Jun. 21, 2014
Jun. 4, 2014 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Dismissal |
Western and Southern Life I... |
Sep. 1, 2012
Jun. 29, 2012 |
|
|
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | Iron Workers Local 580 Join... |
Mar. 26, 2021
Mar. 2, 2021 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Joseph Curry, individually ... |
May 16, 2015
Apr. 21, 2015 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Mixed |
Bill John Callis v. Banc of... |
Mar. 17, 2012
Feb. 14, 2012 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. a... |
Mar. 16, 2013
Feb. 26, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$857,314
|
$857,314
|
Securities and Exchange Com... |
Aug. 30, 2014
May 22, 2014 |
|
|
Securities
Negligence
Verdict:
$280,000,000
|
$280,000,000
|
Plumbers' & Pipefitters' Lo... |
May 31, 2014
May 2, 2014 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Dismissal |
Joel Krieger v. Atheros Com... |
Jul. 7, 2012
May 29, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,500,000
|
$3,500,000
|
Stephen V. Wilson | Securities and Exchange Com... |
Apr. 23, 2021
Mar. 30, 2021 |