57555 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Richard Amtower v. Photon D... |
Jul. 15, 2006
May 5, 2006 |
|
|
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
Verdict:
$50,000
|
$50,000
|
George W. Harding | Howard Brinkerhoff v. Charl... |
Dec. 22, 2017
Nov. 9, 2017 |
|
Securities
Securities Fraud
Verdict:
$6,250,000
|
$6,250,000
|
In Re State Street Bank and... |
Jun. 16, 2012
May 23, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
David J. Foster on behalf o... |
Aug. 21, 2010
Aug. 5, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$15,368
|
$15,368
|
William A. Tudor and Kathle... |
Jul. 10, 2010
Jun. 4, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$37,500,000
|
$37,500,000
|
Jeffrey Schulein, et al. v.... |
Feb. 13, 2016
Mar. 16, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Vickie Tedesco Parrish, ind... |
Oct. 1, 2011
Jul. 18, 2011 |
|
|
Securities
Suitability
Verdict:
$277,468
|
$277,468
|
Richard A. Hingley, individ... |
Sep. 13, 2014
Aug. 22, 2014 |
|
|
Securities
Expungement |
Respondent | Justin John Pearce v. J.P. ... |
Jun. 26, 2020
Apr. 16, 2020 |
|
|
Securities
Securities Fraud
Verdict:
$925,000
|
$925,000
|
Filip Lambert, Jignesh Pate... |
May 27, 2017
Oct. 11, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$750,000
|
$750,000
|
Securities and Exchange Com... |
Mar. 21, 2015
Mar. 2, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$2,500,000
|
$2,500,000
|
Jacqueline S. Corley | Tyler Hardy and Danny Roche... |
Jan. 12, 2024
Sep. 26, 2023 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Fred McKay, as Trustee for ... |
Mar. 21, 2015
Feb. 24, 2015 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
DeVonna K. Murrin v. Charle... |
Mar. 21, 2015
Feb. 26, 2015 |
|
|
Securities
Violation of the Securities Act
Verdict:
$14,000,000
|
$14,000,000
|
Linda Wong, individually an... |
Feb. 8, 2014
Oct. 4, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$3,250,000
|
$3,250,000
|
In re Orion Securities Liti... |
Feb. 19, 2011
Jan. 3, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph E. Czarnecki, Nancy ... |
Feb. 8, 2014
Jan. 14, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Jerry Mote v. First Allied ... |
Oct. 4, 2008
Jul. 15, 2008 |
|
|
Securities
Expungement |
Expungement | Mark A. Bilawsky | Anthony Claude Marcello III... |
Mar. 15, 2019
Jan. 19, 2019 |
|
Securities
Breach of Contract
Verdict:
$5,676
|
$5,676
|
Andrew Y. Wasa, Henry J. Fe... |
Nov. 27, 2010
Nov. 2, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
John Reber and Brenda Reber... |
Sep. 22, 2012
Aug. 24, 2012 |
|
|
Securities
Violations of Exchange Act
Verdict:
$500,000,000
|
$500,000,000
|
Maine State Retirement Syst... |
May 18, 2013
Apr. 17, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Gene Gasselle v. Merrill Ly... |
May 8, 2010
Apr. 9, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bank of Nevada v. UBS Finan... |
Mar. 16, 2013
Mar. 5, 2013 |
|
|
Securities
Securities Fraud |
Dismissal | Maxine M. Chesney | In re Wells Fargo & Company... |
Mar. 4, 2022
Feb. 7, 2022 |
|
Securities
Securities Fraud
Verdict:
$8,750,000
|
$8,750,000
|
Samuel Hildenbrand, on beha... |
Feb. 8, 2014
Mar. 1, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Ikho Kang, Unsoon K. Kang v... |
Dec. 6, 2008
Oct. 17, 2008 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Department of Enforcement v... |
Mar. 23, 2013
Feb. 21, 2013 |
|
|
Securities
Fraud
Verdict:
$10,390,000
|
$10,390,000
|
Securities and Exchange Com... |
Sep. 22, 2007
Apr. 6, 2007 |