57592 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Stocks
Verdict:
$22,500,000
|
$22,500,000
|
In re Pall Corp. Securities... |
Oct. 20, 2012
Aug. 20, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$90,961
|
$90,961
Consent Judgment |
Securities and Exchange Com... |
Feb. 7, 2015
Dec. 23, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$699,364
|
$699,364
|
David L. Valponi, individua... |
Apr. 17, 2020
Feb. 20, 2020 |
|
|
Securities
Foreign Corrupt Practices Act
Verdict:
$55,000,000
|
$55,000,000
|
In the Matter of Bio-Rad La... |
Nov. 29, 2014
Nov. 3, 2014 |
|
|
Securities
Fraud |
Expungement | Christopher M. McMurray | Harold B. Garner Jr., Shirl... |
Aug. 25, 2017
Jul. 21, 2017 |
|
Securities
Securities Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Pension Trust Fund for Oper... |
Nov. 9, 2013
Sep. 25, 2013 |
|
|
Securities
CRD Records |
Expungement | Raymond C. Kerr | William David Leven v. UBS ... |
Aug. 25, 2017
Jul. 19, 2017 |
|
Securities
Unfair Business Practices
Verdict:
$14,500
|
$14,500
|
James Gordon v. E Trade Sec... |
Mar. 25, 2017
Jan. 24, 2017 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Equitable Agreement |
Securities and Exchange Com... |
Jul. 31, 2010
Jul. 16, 2010 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent |
Leprino Foods Co. v. BNY Me... |
Nov. 3, 2012
Oct. 9, 2012 |
|
|
Securities
Negligent Misrepresentation |
Defense | Elliott Z. Seff | ABS Manager LLC v. Morgan S... |
Sep. 1, 2017
Jul. 25, 2017 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Steven Badeau; Geneva BCCX ... |
May 26, 2012
Apr. 9, 2012 |
|
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Yangchen D. Lama v. UBS Fin... |
Jun. 21, 2019
May 8, 2019 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Equitable Settlement |
Damien Moore v. Charles Sch... |
May 26, 2012
Apr. 17, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
John T. Hall, James Kaczmar... |
Dec. 7, 2013
Nov. 14, 2013 |
|
|
Securities
Expungement |
Jahanguir "John" Azodi v. B... |
Apr. 10, 2020
Feb. 17, 2020 |
||
|
Securities
Breach of Fiduciary Duty
Verdict:
$8,319,233
|
$8,319,233
|
Move Inc. v. Citigroup Glob... |
Mar. 6, 2020
May 20, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$202,300 (plus interest) |
Barbara J. Wammer, individu... |
Sep. 11, 2010
Aug. 12, 2010 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Eric Anthony Broili v. Andr... |
Jan. 28, 2012
Dec. 28, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
For Respondents |
Kari Heinrich Vogelbach, M.... |
Sep. 8, 2012
Feb. 28, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Lisa E. Coppola v. Juniper ... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$713,230
|
$713,230
|
Wells Fargo Advisors, LLC, ... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$693,000
|
$693,000
|
Michael Aberlich, Patricia ... |
Aug. 25, 2012
Aug. 2, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$385,000
|
$385,000
|
Paul E. Dahlman | Philip Harper and Amanda Ha... |
Mar. 1, 2019
Jan. 3, 2019 |
|
Securities
Securities Fraud
Verdict:
$135,000
|
$135,000
|
Shirley Edwards v. R.W. Tow... |
Oct. 6, 2012
Aug. 4, 2012 |
|
|
Securities
Expungement |
Expungement | George L. Tindall | Kurt Charles Jackson v. Mer... |
Feb. 1, 2019
Dec. 13, 2018 |
|
Securities
CRD Records |
Expungement Denied | Herbert Liberman | Shareholders Service Group ... |
Aug. 25, 2017
Jul. 19, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Cindy Bridges-Ross v. Morga... |
Dec. 17, 2011
Nov. 15, 2011 |
|
|
Securities
Negligent Supervision
Verdict:
$1,740,000
|
$1,740,000
|
Wendling v. Merrill Lynch |
Dec. 16, 2003
Oct. 6, 2003 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Susan Pasillo and Mark Pasi... |
Nov. 30, 2013
Nov. 15, 2013 |