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57555 Rulings

Topic Case Name Published / Result

Securities

Securities
CRD Records
Charles Paul Reinhold v. HB... Aug. 25, 2017
    Jul. 17, 2017
Securities
Suitability
Verdict: -$1
Donald Stunkart v. Edward J... Jan. 4, 2014
    Dec. 11, 2013
Securities
NASD
Verdict: -$1
Bryan Silagy v. Woodbury Fi... Dec. 16, 2006
    Aug. 11, 2006
Securities
Violations of Exchange Act
Verdict: $3,000,000
Roger Wheeler and Paul Whee... Jun. 25, 2011
    Mar. 25, 2011
Securities
Breach of Fiduciary Duty
Verdict: $177,792
Karen E. Rey v. Wedbush Sec... May 7, 2011
    Mar. 25, 2011
Securities
Securities Exchange Act
Verdict: $33,000,000
Greg Fleming, individually ... Jun. 24, 2022
    Mar. 31, 2022
Securities
Breach of Contract
Verdict: -$1
Sharyl J. Lee, individually... Apr. 27, 2013
    Apr. 9, 2013
Securities
NASD
Verdict: -$1
Banc of America Investment ... Jun. 9, 2007
    Sep. 27, 2006
Securities
Breach of Contract
Verdict: -$1
Wells Fargo Investments LLC... Nov. 14, 2009
    Jul. 26, 2009
Securities
Breach of Fiduciary Duty
Verdict: -$1
Charles W. Ott, as Trustee ... May 7, 2011
    Mar. 31, 2011
Securities
Breach of Fiduciary Duty
Verdict: -$1
Rene Garcia v. Morgan Stanl... May 6, 2006
    Jan. 11, 2006
Securities
Breach of Promissory Note
Verdict: $345,382
Wells Fargo Advisors, LLC v... Jul. 17, 2020
    Mar. 26, 2020
Securities
Breach of Fiduciary Duty
Verdict: $750,000
Stanley G. Kazezski, Lillia... Jun. 18, 2011
    May 5, 2011
Securities
Securities Fraud
Verdict: $5,500,000
James Rafton, Trustee of th... Dec. 3, 2011
    Nov. 10, 2011
Securities
Expungement
Verdict: -$1
Charles Schwab & Co. Inc. v... Feb. 9, 2013
    Jan. 23, 2013
Securities
Breach of Fiduciary Duty
Paul D. Kuhn v. Jimmy D. Epley Aug. 7, 2020
    Mar. 27, 2020
Securities
Fraud
Verdict: -$1
Donald L. Tasto and Jennife... Mar. 31, 2007
    Feb. 9, 2007
Securities
Expungement
Robert Emmett Gill v. J.P. ... Mar. 15, 2019
    Jan. 16, 2019
Securities
Breach of Promissory Note
Verdict: $401,364
Morgan Stanley Smith Barney... Feb. 9, 2013
    Jan. 29, 2013
Securities
Securities Fraud
Verdict: -$1
Arnold Kreek, individually ... Apr. 23, 2011
    Jan. 14, 2011
Securities
Breach of Fiduciary Duty
Verdict: -$1
Hung Hoang v. TD Ameritrade... Nov. 21, 2009
    Jul. 20, 2009
Securities
Securities Exchange Act
R. Brian Terenzini, individ... Jul. 29, 2022
    Jun. 9, 2022
Securities
Stocks
Verdict: $329,239
Joan Kushner, Michael Eggim... Sep. 22, 2012
    Aug. 30, 2012
Securities
Negligence
Verdict: $128,000
Ashok Rao v. Ivan Dario Ang... Oct. 11, 2014
    Sep. 22, 2014
Securities
Expungement
Verdict: -$1
Gregory Allen Headrick v. U... May 30, 2013
    May 19, 2013
Securities
Breach of Contract
Verdict: $1,246,160
Agnes Barrelet IRA, Agnes C... Jun. 28, 2014
    Jun. 11, 2014
Securities
Securities Exchange Act
Verdict: $12,750,000
Kevin Kendall, Individually... Dec. 23, 2021
    Dec. 3, 2021
Securities
Breach of Fiduciary Duty
Verdict: $444,000
Edward Blackoff, Trustee of... May 7, 2011
    Apr. 6, 2011
Securities
Securities Exchange Act
Verdict: -$1
In Re ECOtality Inc. Securi... Oct. 25, 2014
    Sep. 16, 2014
Securities
Securities Fraud
Verdict: -$1
Securities and Exchange Com... Oct. 18, 2014
    Jul. 25, 2014