57592 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$13,500
|
$13,500
|
Ellen Baron v. Banc of Amer... |
Feb. 20, 2010
Jan. 14, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Preliminary Injunction Denied |
Robert Masters, individuall... |
Mar. 15, 2014
Feb. 12, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Nov. 8, 2014
Oct. 15, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$12,206
|
$12,206
|
William W. Steckbauer, Trus... |
Oct. 15, 2011
Jan. 1, 2011 |
|
|
Securities
Securities Fraud |
Respondent | Steven H. Gentry | Christina Billington as Suc... |
May 3, 2019
Mar. 8, 2019 |
|
Securities
Expungement |
Expungement | Robert D. Sussin | Albert Alan Aizin v. Syndic... |
May 3, 2019
Mar. 23, 2019 |
|
Securities
Unfair Business Practices
Verdict:
$151,506
|
$151,506
|
Martina Hutchinson, individ... |
Mar. 8, 2014
Feb. 10, 2014 |
|
|
Securities
Securities Fraud |
Expungement | William M. Samsel | Laurie Seeman, an individua... |
Oct. 6, 2017
Sep. 1, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,333,930
|
$1,333,930
|
Hooman Moshar and May Mosha... |
Jan. 26, 2013
Jan. 9, 2013 |
|
|
Securities
NASD
Verdict:
$82,750
|
$82,750
|
J. Jeffrey Donnell v. Citig... |
Dec. 23, 2006
Apr. 11, 2006 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Frank Meyers, individually;... |
Jan. 11, 2019
Oct. 4, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$19,000,000
|
$19,000,000
|
Dale S. Fischer | Vancouver Alumni Asset Hold... |
Jun. 19, 2020
Apr. 29, 2020 |
|
Securities
Negligence |
Dismissal | Arocles Aguilar | Michael R. Somerby v. E Tra... |
Apr. 12, 2019
Feb. 19, 2019 |
|
Securities
Professional Negligence
Verdict:
$830,000
|
$830,000
|
Judith I. Graves v. Merrill... |
May 3, 2005
Feb. 17, 2005 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Scott Lambert, Laura Lamber... |
Mar. 15, 2014
Feb. 11, 2014 |
|
|
Securities
Negligent Misrepresentation |
Expungement | Michael Harrison | Charles W. Morgan, individu... |
Oct. 6, 2017
Aug. 22, 2017 |
|
Securities
Breach of Contract |
Respondent | Brian B. Torsney Sr. | Bradley Aaron Sayre v. J.P.... |
Jan. 12, 2018
Aug. 3, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Rivette Family Trusts v. We... |
Dec. 20, 2019
Nov. 6, 2019 |
|
|
Securities
Expungement |
Claimant | Luis-Diego Quiroz v. J.P. M... |
Aug. 14, 2020
Jun. 3, 2020 |
|
|
Securities
Negligence
Verdict:
$6,932
|
$6,932
|
Steven A. Brick | Persall v. Northwestern |
Jan. 18, 1997
Oct. 1, 1996 |
|
Securities
Breach of Contract |
Respondent | Roger B. Jacobs | Trenchant Funds USA LLC v. ... |
Apr. 12, 2019
Feb. 19, 2019 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Scripsamerica Inc. v. Ironr... |
Sep. 26, 2015
Aug. 11, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,176,000
|
$1,176,000
|
Barbara M. Anscher | Michael Gerard Rom v. Phili... |
Feb. 2, 2018
Nov. 22, 2017 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Kevin T. Knox, Noe Barocio,... |
Jun. 11, 2016
May 10, 2016 |
|
|
Securities
Expungement |
Expungement | Richard J. Kaplan | Marc Layne Lowell v. Argent... |
Jun. 21, 2019
Apr. 23, 2019 |
|
Securities
Securities Fraud
Verdict:
$60,000
|
$60,000
|
Herbert Liberman | Nigel Timms v. Morgan Stanl... |
Feb. 9, 2018
Jan. 2, 2018 |
|
Securities
Breach of Promissory Note
Verdict:
$323,353
|
$323,353
|
Herbert A. Schwartz | Morgan Stanley Smith Barney... |
Oct. 6, 2017
Aug. 7, 2017 |
|
Securities
Breach of Contract |
Respondent | Walter S. Schwartz | William James Lane v. Farme... |
Oct. 6, 2017
Jul. 27, 2017 |
|
Securities
Expungement |
Expungement Denied | Merton E. Marks | William Dean Ferguson v. Va... |
Apr. 26, 2019
Mar. 24, 2019 |
|
Securities
Securities Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Wayne C. Conlee, individual... |
Mar. 8, 2014
Jan. 21, 2014 |