57555 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Fraud
Verdict:
$338,000
|
$338,000
|
Rose Kramer, Stanley Kramer... |
Jun. 16, 2012
May 25, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Kevin D. Swenson | Doris Rudolph v. Merrill Ly... |
Apr. 22, 2006
Nov. 30, 2005 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Barnard Lewis Family Trust ... |
Jun. 30, 2012
May 29, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,200,000
|
$1,200,000
|
Otis D. Wright II | Noe Barocio, Salvador Baroc... |
Dec. 14, 2018
|
|
Securities
Expungement |
Claimant | Robert Z. Disman v. UBS Fin... |
Jan. 3, 2020
Nov. 6, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$783,287
|
$783,287
|
Charles Michaels | Chad W. Whitmore and Susan ... |
Dec. 14, 2018
Nov. 20, 2018 |
|
Securities
Commodities
Verdict:
-$1
|
-$1
Dismissal |
Joel Krieger v. Atheros Com... |
Jul. 7, 2012
May 29, 2012 |
|
|
Securities
Expungement |
Expungement | Barbara M. Zak | Antoine Nabih Souma v. UBS ... |
Apr. 19, 2019
Feb. 4, 2019 |
|
Securities
Securities Fraud
Verdict:
$925,000
|
$925,000
|
Filip Lambert, Jignesh Pate... |
May 27, 2017
Oct. 11, 2016 |
|
|
Securities
Expungement |
Expungement | Merton E. Marks | Jason Andres Zilveti v. UBS... |
Dec. 14, 2018
Nov. 21, 2018 |
|
Securities
Securities Exchange Act |
Dismissal | Edward M. Chen | Danielle Carr, individually... |
Dec. 23, 2022
Oct. 8, 2021 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Lawrence W. Hake, M.D. v. M... |
Apr. 4, 2015
Feb. 26, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Arnold Weinberg v. Alan D. ... |
Apr. 28, 2012
Mar. 12, 2012 |
|
|
Securities
Expungement |
Expungement | Richard W. Vallario | Rushdi Zalatimo v. J.P. Tur... |
Dec. 14, 2018
Oct. 10, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$17,500,000
|
$17,500,000
|
Vince G. Chhabria | Paul Hayden, et al. v. Port... |
Nov. 4, 2022
Sep. 19, 2022 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Deborah J. Hill, individual... |
Oct. 30, 2010
Oct. 2, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
David N. Harvey and Sharon ... |
May 7, 2011
Apr. 13, 2011 |
|
|
Securities
Expungement |
Expungement | George L. Tindall | Kurt Charles Jackson v. Mer... |
Feb. 1, 2019
Dec. 13, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$700,000
|
$700,000
|
Charles R. Breyer | Securities and Exchange Com... |
Jul. 2, 2021
Jun. 9, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$32,710
|
$32,710
|
Thomas R. Watkins | David Caidar, individually ... |
Feb. 1, 2019
Dec. 7, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$15,000,000
|
$15,000,000
|
Cormac J. Carney | Sam Farrar, individually an... |
May 12, 2023
Jan. 13, 2023 |
|
Securities
Stocks
Verdict:
$2,800,000
|
$2,800,000
|
James E. Fisher, individual... |
Aug. 17, 2013
Jul. 18, 2013 |
|
|
Securities
Unfair Business Practices
Verdict:
-$1
|
-$1
Non-Prosecution Agreement |
U.S. Securities and Exchang... |
May 11, 2013
Apr. 19, 2013 |
|
|
Securities
Fraud
Verdict:
$16,000,000
|
$16,000,000
|
In re LDK Solar Securities ... |
Oct. 23, 2010
Mar. 2, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Elizabeth N. Steinlauf Trus... |
Aug. 30, 2014
Aug. 7, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Alaris F. Thorns IRA Rollov... |
Aug. 31, 2013
Aug. 14, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
David Hubert v. Bear, Stear... |
Oct. 25, 2008
Mar. 4, 2008 |
|
|
Securities
Negligent Supervision
Verdict:
$1,740,000
|
$1,740,000
|
Wendling v. Merrill Lynch |
Dec. 16, 2003
Oct. 6, 2003 |
|
|
Securities
Fraud
Verdict:
$0
|
$0
|
David A. Castillo v. Southw... |
Sep. 6, 2008
Mar. 1, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claims dismissed with prejudice |
The Thomas P. Matula Living... |
Sep. 13, 2008
Mar. 11, 2008 |