57555 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$250,000 on respondents' counterclaim |
UBS Financial Services Inc.... |
Apr. 20, 2013
Apr. 2, 2013 |
|
Securities
Breach of Promissory Note
Verdict:
$873,232
|
$873,232
|
Wells Fargo Advisors LLC v.... |
Apr. 20, 2013
Mar. 27, 2013 |
|
Securities
Violations of Exchange Act
Verdict:
$4,250,000
|
$4,250,000
|
Paul Luman, Individually an... |
Apr. 20, 2013
Feb. 8, 2013 |
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Respondent |
Jack Hoffman and Taeko Hoff... |
Apr. 13, 2013
Apr. 1, 2013 |
|
Securities
Securities Fraud
Verdict:
$10,000,000
|
$10,000,000
|
Carl Stork v. John Textor, ... |
Apr. 13, 2013
Nov. 29, 2012 |
|
Securities
Lending
Verdict:
$24,975,000
|
$24,975,000
|
City of Ann Arbor Employees... |
Oct. 13, 2012
Sep. 11, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Arnold Weinberg v. Alan D. ... |
Apr. 28, 2012
Mar. 12, 2012 |
|
Securities
Verdict:
$157,000
|
$157,000
|
John A. Kronstadt | Securities and Exchange Com... |
Oct. 23, 2020
Sep. 21, 2020 |
Securities
Commodities
Verdict:
$65,000
|
$65,000
|
Penny Lipp Family Trust v. ... |
Oct. 13, 2012
Sep. 12, 2012 |
|
Securities
Securities Fraud
Verdict:
$2,300,000
|
$2,300,000
|
Washington Umberto Cinel v.... |
Jul. 28, 2012
Jun. 19, 2012 |
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Preliminary Injunction Denied |
Robert Masters, individuall... |
Mar. 15, 2014
Feb. 12, 2014 |
|
Securities
Unfair Business Practices
Verdict:
$151,506
|
$151,506
|
Martina Hutchinson, individ... |
Mar. 8, 2014
Feb. 10, 2014 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Scott Lambert, Laura Lamber... |
Mar. 15, 2014
Feb. 11, 2014 |
|
Securities
Securities Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Wayne C. Conlee, individual... |
Mar. 8, 2014
Jan. 21, 2014 |
|
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
Violations of Exchange Act
Verdict:
$8,916,670
|
$8,916,670
|
In re Nuvelo Inc. Securitie... |
May 28, 2011
Apr. 8, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$13,500
|
$13,500
|
Ellen Baron v. Banc of Amer... |
Feb. 20, 2010
Jan. 14, 2010 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Denial |
Cynthia L. Stirling, Cynthi... |
Dec. 17, 2011
Nov. 23, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Cindy Bridges-Ross v. Morga... |
Dec. 17, 2011
Nov. 15, 2011 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Denial |
Robert Stafford Sr., Cynthi... |
Dec. 17, 2011
Nov. 16, 2011 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Richard M. Norman | Myron Allen, individually, ... |
Nov. 10, 2017
Oct. 5, 2017 |
Securities
Intentional and Negligent Misrepresentation/Concealment |
Respondent | Kirtley M. Thiesmeyer | Wan Yu Luo v. Ameriprise Fi... |
Nov. 10, 2017
Sep. 18, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | Ralph L. Jacobson | Susan Coghlan, Hugh Cotter ... |
Nov. 10, 2017
Sep. 25, 2017 |
Securities
Fraud
Verdict:
$0
|
$0
|
Paul H. Alvarado | Kennilworth Partners v. Cri... |
Nov. 15, 2001
Oct. 10, 2001 |
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Joseph R. Loprieato, Peggy ... |
May 24, 2014
Apr. 29, 2014 |
|
Securities
FINRA Rules
Verdict:
$500,000
|
$500,000
|
In the Matter of Department... |
Dec. 20, 2014
Apr. 24, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$550,505
|
$550,505
|
The Selan Family Trust dd A... |
Jun. 12, 2010
May 25, 2010 |
|
Securities
Fraud
Verdict:
$235,000,000
|
$235,000,000
|
In re Charles Schwab Corp. ... |
Jun. 12, 2010
May 25, 2010 |