57592 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Department of Enforcement v... |
Mar. 23, 2013
Feb. 21, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Thomas L. Marshall | Norman Lipson v. RBC Capita... |
Apr. 5, 2019
Feb. 7, 2019 |
|
Securities
Securities Fraud
Verdict:
$4,800,000
|
$4,800,000
|
Janis L. Sammartino | Karim Khoja, on behalf of h... |
Jun. 11, 2021
Apr. 22, 2021 |
|
Securities
Securities Fraud |
Injunctive Relief | Stanley Blumenfeld Jr. | Securities and Exchange Com... |
Jul. 30, 2021
Jul. 2, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$8,319,233
|
$8,319,233
|
Move Inc. v. Citigroup Glob... |
Mar. 6, 2020
May 20, 2019 |
|
|
Securities
Securities Fraud |
Dismissal | William H. Orrick III | Paul Hessong, on behalf of ... |
Feb. 24, 2023
Oct. 12, 2021 |
|
Securities
Securities Fraud
Verdict:
$62,027
|
$62,027
|
Securities and Exchange Com... |
Mar. 7, 2015
Jan. 5, 2015 |
|
|
Securities
Securities Fraud |
Respondent | Lyle LaMothe v. Merrill Lyn... |
May 29, 2020
Feb. 25, 2020 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Keith M. Steel, Anpei Lin, ... |
Feb. 2, 2013
Jan. 16, 2013 |
|
|
Securities
Expungement |
Expungement | Brent Stanley Pine v. Voya ... |
Apr. 10, 2020
Feb. 14, 2020 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Mixed |
Anthony and Debra Hanna, in... |
May 12, 2012
Oct. 13, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$50,000,000
|
$50,000,000
|
Yvonne Gonzalez Rogers | In Re: RH Inc. Securities L... |
Jan. 10, 2020
|
|
Securities
Securities Fraud
Verdict:
$5,498,941
|
$5,498,941
|
John W. Holcomb | Securities and Exchange Com... |
Jun. 18, 2021
May 20, 2021 |
|
Securities
Breach of Contract |
Respondents | R.S.S. McKosky, Tatyana McK... |
Jul. 31, 2020
Jun. 10, 2020 |
|
|
Securities
|
Expungement | Richard Jay Zinman v. UBS F... |
May 24, 2019
Apr. 9, 2019 |
|
|
Securities
Negligence
Verdict:
$207,500
|
$207,500
|
Ken Kragen v. Wedbush Secur... |
Jun. 23, 2012
Apr. 12, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$11,000,000
|
$11,000,000
|
Edward J. Davila | Michael Sanders, individual... |
Dec. 23, 2022
Jul. 28, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$189,000,000
|
$189,000,000
|
Roger T. Benitez | Austin Dicker, individually... |
May 23, 2025
Sep. 4, 2024 |
|
Securities
Expungement |
Expungement | Michael Shawn Bakos v. Fide... |
Apr. 17, 2020
Feb. 3, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
Roland Lee v. CapWest Secur... |
Jun. 25, 2011
May 6, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Permanent Injunction Granted |
Securities and Exchange Com... |
May 17, 2014
Oct. 1, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$482,050
|
$482,050
|
Alicia G. Rosenberg | Securities and Exchange Com... |
May 20, 2022
Apr. 11, 2022 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Daniel M. Yamshon | Rajiv Nagesetty, Rajiv Nage... |
Jan. 25, 2019
Dec. 13, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$3,500,000
|
$3,500,000
|
Stephen V. Wilson | Securities and Exchange Com... |
Apr. 23, 2021
Mar. 30, 2021 |
|
Securities
Securities Fraud |
Dismissal | James Donato | In re Stitch Fix Inc. Secur... |
Oct. 29, 2021
Sep. 30, 2021 |
|
Securities
Securities Exchange Act |
Defense | Haywood S. Gilliam Jr. | Bioscience Advisors Inc. v.... |
Apr. 28, 2023
Jan. 11, 2023 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Dismissal |
NestWorth Inc. v. Prager & ... |
Aug. 9, 2014
Jul. 10, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$6,250,000
|
$6,250,000
|
In re: Geron Corporation Se... |
Apr. 1, 2017
Mar. 3, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$60,000
|
$60,000
|
Securities and Exchange Com... |
Feb. 23, 2013
Feb. 6, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$135,000,000
|
$135,000,000
|
The Commissioner of Financi... |
Jul. 25, 2025
Apr. 24, 2025 |