57555 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$6,215
|
$6,215
|
Vincent R. and Tracie D. He... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiff |
U.S. Securities and Exchang... |
Sep. 7, 2013
Aug. 16, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$61,000,000
|
$61,000,000
|
Aurum STS Aggressive Tradin... |
Oct. 29, 2011
Oct. 6, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Jay Knapp, Reva Knapp, The ... |
Oct. 15, 2011
Sep. 19, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Madhok Family Trust dated 1... |
Dec. 3, 2011
Nov. 10, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Steven Steinberg v. UBS Fin... |
Sep. 11, 2010
Aug. 18, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$100,000 upon assignment of interests in the Domin-8 investment |
Lawrence Ngou v. DeWaay Fin... |
Feb. 26, 2011
Jan. 19, 2011 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement Denied |
Randall Larry Krenzin v. Me... |
Jun. 27, 2015
Mar. 4, 2015 |
|
|
Securities
Expungement |
Expungement Denied | Michael John Florio | Aaron A. DelSignore v. UBS ... |
Feb. 2, 2018
Dec. 28, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$50,000
|
$50,000
|
Angela C. Kamahi, Isaac Kam... |
Mar. 12, 2011
Feb. 9, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
Howard Levine v. AtriCure Inc. |
Feb. 26, 2011
Dec. 29, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$761,497
|
$761,497
|
Securities and Exchange Com... |
Mar. 12, 2011
Jul. 28, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Jun. 27, 2015
Mar. 6, 2015 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Mixed Decision |
Reuben Vollmer v. Genesis C... |
May 2, 2015
Mar. 19, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Levi Nagel v. UBS Financial... |
Jun. 27, 2015
Apr. 27, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
David J. Foster on behalf o... |
Aug. 21, 2010
Aug. 5, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Netflix, Inc. Securit... |
Sep. 7, 2013
Aug. 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement |
In re Wireless Facilities I... |
Oct. 9, 2010
Apr. 29, 2010 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Respondent |
Fred S. Beaton and Fred S. ... |
Aug. 17, 2013
Aug. 2, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Robert C. Kraynak, Robert C... |
May 2, 2015
Mar. 24, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$85,061
|
$85,061
|
Ifrach Family Trust Number ... |
Oct. 9, 2010
Sep. 7, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$49,000
|
$49,000
|
Maimoona Mirdad v. Wachovia... |
Oct. 9, 2010
Sep. 13, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
James P. Beaty, Trustee of ... |
Oct. 9, 2010
Sep. 14, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$641,052 (including fees and costs) |
Martha C. Campbell, persona... |
Oct. 9, 2010
Sep. 17, 2010 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Randall Larry Krenzin v. We... |
May 2, 2015
Mar. 27, 2015 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Corinne DeGiorgio Fond v. M... |
Jun. 27, 2015
Apr. 27, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Gene A. and Janice M. Hedlu... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Securities Exchange Act |
Defense | Edward M. Chen | Ronald Sgarlata, individual... |
Feb. 8, 2019
Dec. 13, 2018 |
|
Securities
Fraud and Deceit |
Respondents | Elliott D. Finkel | Richard Long v. Ruben Cavad... |
Feb. 2, 2018
Dec. 29, 2017 |
|
Securities
Expungement |
Claimant | Michael Lancaster Garcia | Mark Clifford Richmond v. L... |
Dec. 27, 2019
Oct. 11, 2019 |