57555 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
John Shishko Revocable Trus... |
Jan. 25, 2014
Jan. 6, 2014 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Jeffrey Colflesh, et al. v.... |
Aug. 4, 2012
Jun. 28, 2012 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,333,930
|
$1,333,930
|
Hooman Moshar and May Mosha... |
Jan. 26, 2013
Jan. 9, 2013 |
|
|
Securities
Commodities
Verdict:
$37,000,000
|
$37,000,000
|
In re Tronox Inc. Securitie... |
Oct. 20, 2012
Aug. 29, 2012 |
|
|
Securities
Expungement |
Expungement | Matt Ward v. Euro Pacific C... |
May 24, 2019
Apr. 16, 2019 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Securities and Exchange Com... |
Nov. 6, 2010
Jan. 5, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$100,000
|
$100,000
|
Anthony Cowan, Jennifer Cow... |
Jun. 28, 2014
Jun. 6, 2014 |
|
|
Securities
Fraud
Verdict:
$3,150,680
|
$3,150,680
|
Richman Bay v. Roger A. Fea... |
Jan. 9, 2010
Sep. 1, 2009 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent; Expungement |
Margaret A. Lucas v. Mannin... |
Nov. 28, 2015
Oct. 31, 2015 |
|
|
Securities
Fraud
Verdict:
$338,000
|
$338,000
|
Rose Kramer, Stanley Kramer... |
Jun. 16, 2012
May 25, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
John T. Hall, James Kaczmar... |
Dec. 7, 2013
Nov. 14, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
United Micronesia Developme... |
Jul. 13, 2013
Jun. 26, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
D.L. Gai, Trustee of the Ga... |
Dec. 21, 2013
Nov. 20, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Alan Fenster, A Professiona... |
Apr. 2, 2011
Mar. 12, 2011 |
|
|
Securities
Verdict:
$1,500,000
|
$1,500,000
|
Thomas S. Hixson | United States of America v.... |
Apr. 1, 2022
Mar. 3, 2022 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Clara M. Hickle v. Wells Fa... |
Jan. 19, 2013
Dec. 31, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$13,713
|
$13,713
|
Elizabeth Bondoc v. Wachovi... |
Jan. 5, 2008
Nov. 12, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$6,215
|
$6,215
|
Vincent R. and Tracie D. He... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Fraud
Verdict:
$73,150,000
|
$73,150,000
|
Securities and Exchange Com... |
Nov. 6, 2010
Oct. 16, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$29,500
|
$29,500
|
John Z. Zarich v. Merriman ... |
Jan. 8, 2011
Dec. 2, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
White Pacific Securities In... |
May 15, 2010
Apr. 23, 2010 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
David Parri v. Wells Fargo ... |
Jan. 15, 2011
Dec. 15, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Barnard Lewis Family Trust ... |
Jun. 30, 2012
May 29, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$149,763
|
$149,763
|
Wells Fargo Advisors LLC v.... |
Jun. 1, 2013
May 16, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Equitable Settlement | Thomas E. Kuhnle | Robert Shaffer, derivativel... |
Apr. 5, 2019
Jan. 18, 2019 |
|
Securities
Fraud
Verdict:
$125,000,000
|
$125,000,000
|
In re New Century |
Dec. 4, 2010
Nov. 9, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
A. J. Copeland v. Raymond J... |
May 18, 2013
May 6, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Police Retirement Systems o... |
Jul. 7, 2012
May 22, 2012 |
|
|
Securities
Securities Exchange Act |
Dismissal | Beth L. Freeman | Gregory A. Hurst, individua... |
Dec. 30, 2022
Oct. 18, 2021 |