57555 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$2,157,243
|
$2,157,243
|
Janice L. Sperow | Donna Gambee v. David Lloyd... |
Feb. 2, 2018
Jan. 5, 2018 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Settlement/Expungement |
Michael Rocco and Christian... |
Jan. 28, 2012
Dec. 30, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,176,000
|
$1,176,000
|
Barbara M. Anscher | Michael Gerard Rom v. Phili... |
Feb. 2, 2018
Nov. 22, 2017 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondents liable |
Ronald W. May, Kathryn R. C... |
Jan. 3, 2009
Nov. 20, 2008 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Dismissal |
Carolyn Turner v. Robert H.... |
May 28, 2011
Apr. 15, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Infineon Technologies... |
May 7, 2011
Mar. 17, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$444,000
|
$444,000
|
Edward Blackoff, Trustee of... |
May 7, 2011
Apr. 6, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$54,200,000
|
$54,200,000
|
Dolly M. Gee | In re Woodbridge Investment... |
Jan. 14, 2022
Dec. 17, 2021 |
|
Securities
Fraud
Verdict:
$3,393,180
|
$3,393,180
|
Securities and Exchange Com... |
May 14, 2011
Aug. 12, 2010 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Mark Kalish | Larry Haberkorn v. Wells Fa... |
Sep. 1, 2017
Jun. 22, 2017 |
|
Securities
Breach of Contract |
Respondent | George L. Tindall | Cyrus Tabaz v. Unionbanc In... |
Feb. 9, 2018
Nov. 28, 2017 |
|
Securities
Securities Fraud
Verdict:
$35,750,000
|
$35,750,000
|
In re STEC Inc. Securities ... |
Mar. 23, 2013
Mar. 5, 2013 |
|
|
Securities
NASD
Verdict:
$67,040
|
$67,040
|
H & R Block Financial Advis... |
Oct. 28, 2006
Feb. 28, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$271,250
|
$271,250
|
Dennis M. Nigro, The Dennis... |
Mar. 31, 2007
Feb. 16, 2007 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mari F. Palash and Andrea L... |
Mar. 31, 2007
Feb. 22, 2007 |
|
|
Securities
Negligence |
Dismissal | Arocles Aguilar | Michael R. Somerby v. E Tra... |
Apr. 12, 2019
Feb. 19, 2019 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Jeffrey Harris and Mary And... |
Mar. 31, 2007
Feb. 2, 2007 |
|
|
Securities
Breach of Contract |
Respondent | Roger B. Jacobs | Trenchant Funds USA LLC v. ... |
Apr. 12, 2019
Feb. 19, 2019 |
|
Securities
Securities Fraud
Verdict:
$761,497
|
$761,497
|
Securities and Exchange Com... |
Mar. 12, 2011
Jul. 28, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
Howard Levine v. AtriCure Inc. |
Feb. 26, 2011
Dec. 29, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$50,000
|
$50,000
|
Angela C. Kamahi, Isaac Kam... |
Mar. 12, 2011
Feb. 9, 2011 |
|
|
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
Breach of Fiduciary Duty
Verdict:
$18,442
|
$18,442
|
Jordan H. Moffet, Margot A.... |
Nov. 27, 2010
Nov. 9, 2010 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Split Decision |
Securities and Exchange Com... |
Nov. 27, 2010
Sep. 24, 2010 |
|
|
Securities
Derivative Suit
Verdict:
$26,650,000
|
$26,650,000
|
Anne D. Manos, James N. Mer... |
Nov. 27, 2010
Sep. 1, 2010 |
|
|
Securities
Fraud
Verdict:
$8,500,000
|
$8,500,000
|
In re Spectranetics Corpora... |
Mar. 5, 2011
Sep. 11, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Rhonda Foster v. Private As... |
Mar. 17, 2012
Feb. 20, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
John Reber and Brenda Reber... |
Sep. 22, 2012
Aug. 24, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
U.S. Securities and Exchang... |
Sep. 29, 2012
Aug. 27, 2012 |
|
|
Securities
Commodities
Verdict:
$85,000,000
|
$85,000,000
|
Minneapolis Firefighters' R... |
Sep. 15, 2012
Jul. 23, 2012 |