57555 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Professional Negligence
Verdict:
$830,000
|
$830,000
|
Judith I. Graves v. Merrill... |
May 3, 2005
Feb. 17, 2005 |
|
|
Securities
Securities Exchange Act
Verdict:
$750,000
|
$750,000
|
Andre Birotte Jr. | George Barney, individually... |
Dec. 9, 2022
Aug. 29, 2022 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$32,307
|
$32,307
|
Gilbert W. Lee, Gilbert W. ... |
Mar. 19, 2011
Feb. 18, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mariam Nigohosian v. Charie... |
Mar. 8, 2014
Feb. 11, 2014 |
|
|
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 Contract
Verdict:
$17,384
|
$17,384
|
Harvest & Rowe Inc. Retirem... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Mark Kalish | Larry Haberkorn v. Wells Fa... |
Sep. 1, 2017
Jun. 22, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$1,800,000
|
$1,800,000
|
John W. Holcomb | William Likas, individually... |
Dec. 9, 2022
Mar. 14, 2022 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Standard Credit Securities ... |
Mar. 8, 2014
Feb. 12, 2014 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Michael Fairservice, Locals... |
May 11, 2013
Jun. 22, 2012 |
|
|
Securities
Securities Exchange Act |
Defense | Mark C. Scarsi | William Baker, Jill Sligay,... |
Jun. 7, 2024
Mar. 5, 2024 |
|
Securities
Expungement |
Expungement | Herbert Liberman | Alvin Sanders v. Ameriprise... |
Feb. 16, 2018
Dec. 6, 2017 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Arnold P. Jonas, Emma M. Jo... |
Jan. 16, 2010
Dec. 17, 2009 |
|
|
Securities
Breach of Contract
Verdict:
$4,503
|
$4,503
|
SharesPost Financial Corp. ... |
Oct. 31, 2015
Sep. 12, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph S. Mizrahi, individu... |
Oct. 24, 2015
Sep. 3, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement denied |
Carol Saunders v. Susan N. ... |
Oct. 31, 2015
Jul. 8, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Brad Johnson v. Wells Fargo... |
Jan. 4, 2014
Dec. 13, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$35,750,000
|
$35,750,000
|
In re STEC Inc. Securities ... |
Mar. 23, 2013
Mar. 5, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$2,500,000
|
$2,500,000
|
Vinh Nguyen, individually a... |
Mar. 1, 2014
Jan. 31, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$553,333
|
$553,333
|
Keith Cohn, M.D., individua... |
Mar. 26, 2011
Feb. 18, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Estate of Chaille M. Love, ... |
Jan. 16, 2010
Dec. 14, 2009 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
John Yarbrough v. Citigroup... |
Jan. 16, 2010
Dec. 10, 2009 |
|
|
Securities
Securities Fraud
Verdict:
$160,500,000
|
$160,500,000
|
In re Broadcom Corp. Class ... |
Feb. 6, 2010
Dec. 29, 2009 |
|
|
Securities
Unfair Competition
Verdict:
$3,800,000
|
$3,800,000
|
David Smith, individually a... |
Dec. 31, 2011
Dec. 7, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$10,871
|
$10,871
|
Alice M. Potter v. Ameritas... |
Jun. 9, 2012
May 11, 2012 |
|
|
Securities
Breach of Contract |
Respondent | Guenter S. Cohn | Catherine Grace Bruno v. UB... |
Jan. 12, 2018
Aug. 2, 2017 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. a... |
Nov. 10, 2012
Oct. 19, 2012 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | William M. Samsel | Peter R. de Castro v. UBS F... |
Oct. 6, 2017
Aug. 29, 2017 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Ralph Rugolo v. Peter Antho... |
Apr. 27, 2013
Apr. 11, 2013 |