57555 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
CRD Records |
Expungement | Richard J. Stall Jr. | Charles Paul Reinhold v. HB... |
Aug. 25, 2017
Jul. 17, 2017 |
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Donald Stunkart v. Edward J... |
Jan. 4, 2014
Dec. 11, 2013 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Bryan Silagy v. Woodbury Fi... |
Dec. 16, 2006
Aug. 11, 2006 |
|
Securities
Violations of Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
Roger Wheeler and Paul Whee... |
Jun. 25, 2011
Mar. 25, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$177,792
|
$177,792
|
Karen E. Rey v. Wedbush Sec... |
May 7, 2011
Mar. 25, 2011 |
|
Securities
Securities Exchange Act
Verdict:
$33,000,000
|
$33,000,000
|
Haywood S. Gilliam Jr. | Greg Fleming, individually ... |
Jun. 24, 2022
Mar. 31, 2022 |
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Sharyl J. Lee, individually... |
Apr. 27, 2013
Apr. 9, 2013 |
|
Securities
NASD
Verdict:
-$1
|
-$1
$675,000 for respondent/cross-complainant Ina; $200,000 for respondent/cross-complainant Morilak; $733,000 for respondent/cross-complainant Parziale |
Banc of America Investment ... |
Jun. 9, 2007
Sep. 27, 2006 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$574,021/Equitable relief on cross-complaint |
Wells Fargo Investments LLC... |
Nov. 14, 2009
Jul. 26, 2009 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles W. Ott, as Trustee ... |
May 7, 2011
Mar. 31, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
R. Carlton Seaver | Rene Garcia v. Morgan Stanl... |
May 6, 2006
Jan. 11, 2006 |
Securities
Breach of Promissory Note
Verdict:
$345,382
|
$345,382
Claimant |
Wells Fargo Advisors, LLC v... |
Jul. 17, 2020
Mar. 26, 2020 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$750,000
|
$750,000
|
Stanley G. Kazezski, Lillia... |
Jun. 18, 2011
May 5, 2011 |
|
Securities
Securities Fraud
Verdict:
$5,500,000
|
$5,500,000
|
James Rafton, Trustee of th... |
Dec. 3, 2011
Nov. 10, 2011 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Feb. 9, 2013
Jan. 23, 2013 |
|
Securities
Breach of Fiduciary Duty |
Claimant | Paul D. Kuhn v. Jimmy D. Epley |
Aug. 7, 2020
Mar. 27, 2020 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Donald L. Tasto and Jennife... |
Mar. 31, 2007
Feb. 9, 2007 |
|
Securities
Expungement |
Expungement | Louis H. Miron | Robert Emmett Gill v. J.P. ... |
Mar. 15, 2019
Jan. 16, 2019 |
Securities
Breach of Promissory Note
Verdict:
$401,364
|
$401,364
|
Morgan Stanley Smith Barney... |
Feb. 9, 2013
Jan. 29, 2013 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Arnold Kreek, individually ... |
Apr. 23, 2011
Jan. 14, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Hung Hoang v. TD Ameritrade... |
Nov. 21, 2009
Jul. 20, 2009 |
|
Securities
Securities Exchange Act |
Dismissal | David O. Carter | R. Brian Terenzini, individ... |
Jul. 29, 2022
Jun. 9, 2022 |
Securities
Stocks
Verdict:
$329,239
|
$329,239
|
Joan Kushner, Michael Eggim... |
Sep. 22, 2012
Aug. 30, 2012 |
|
Securities
Negligence
Verdict:
$128,000
|
$128,000
|
Ashok Rao v. Ivan Dario Ang... |
Oct. 11, 2014
Sep. 22, 2014 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Gregory Allen Headrick v. U... |
May 30, 2013
May 19, 2013 |
|
Securities
Breach of Contract
Verdict:
$1,246,160
|
$1,246,160
|
Agnes Barrelet IRA, Agnes C... |
Jun. 28, 2014
Jun. 11, 2014 |
|
Securities
Securities Exchange Act
Verdict:
$12,750,000
|
$12,750,000
|
Marilyn L. Huff | Kevin Kendall, Individually... |
Dec. 23, 2021
Dec. 3, 2021 |
Securities
Breach of Fiduciary Duty
Verdict:
$444,000
|
$444,000
|
Edward Blackoff, Trustee of... |
May 7, 2011
Apr. 6, 2011 |
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In Re ECOtality Inc. Securi... |
Oct. 25, 2014
Sep. 16, 2014 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Permanent Injunction |
Securities and Exchange Com... |
Oct. 18, 2014
Jul. 25, 2014 |