57555 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Commodities
Verdict:
-$1
|
-$1
Equitable Settlement |
Amylin Pharmaceuticals Inc.... |
Dec. 3, 2011
Nov. 9, 2011 |
|
Securities
Verdict:
$7,300,000
|
$7,300,000
|
Barbara A. Meiers | Chanh Huynh, Michael Smith ... |
May 22, 2020
Nov. 6, 2019 |
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
In Re: Diamond Foods Inc. D... |
Jun. 16, 2012
May 29, 2012 |
|
Securities
Expungement |
Expungement Denied | Merton E. Marks | William Dean Ferguson v. Va... |
Apr. 26, 2019
Mar. 24, 2019 |
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Allianz Risk Transfer Inc.,... |
Nov. 15, 2014
Oct. 30, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$35,952
|
$35,952
|
Daryl Olson v. John Francis... |
Feb. 8, 2014
Jan. 22, 2014 |
|
Securities
Securities Exchange Act
Verdict:
$12,015,000
|
$12,015,000
|
Vince G. Chhabria | In re: Vaxart Inc. Securiti... |
Nov. 18, 2022
Sep. 15, 2022 |
Securities
Stocks
Verdict:
$3,750,000
|
$3,750,000
|
In re MBIA INC. Securities ... |
Oct. 27, 2012
Sep. 12, 2012 |
|
Securities
Securities Exchange Act
Verdict:
$49,965
|
$49,965
|
Jesus G. Bernal | Securities and Exchange Com... |
Oct. 30, 2020
Sep. 3, 2020 |
Securities
Breach of Fiduciary Duty |
Expungement Denied | James D. Knotter | Gordon Mapes, et al. v. Rya... |
Jan. 12, 2018
Jun. 2, 2017 |
Securities
Violations of Exchange Act
Verdict:
$2,125,000
|
$2,125,000
|
James Rose v. Deer Consumer... |
Aug. 24, 2013
Aug. 9, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$437,626
|
$437,626
|
Manuel Bernal, Jean Bernal,... |
Oct. 22, 2011
Jul. 25, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
David N. Harvey and Sharon ... |
May 7, 2011
Apr. 13, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
HSH Family Trust U/A Dated ... |
Sep. 12, 2015
May 22, 2015 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$487,336
|
$487,336
|
Margaret Farwell Smith, ind... |
Sep. 5, 2015
May 26, 2015 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Helen M. Peters, Administra... |
Sep. 12, 2015
May 29, 2015 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$176,500
|
$176,500
|
Sean Berton v. Cornerstone ... |
Sep. 5, 2015
Jun. 8, 2015 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Denial |
Kevin Joseph Schaefer v. UB... |
Oct. 1, 2011
Jul. 14, 2011 |
|
Securities
Securities Fraud
Verdict:
$4,800,000
|
$4,800,000
|
Janis L. Sammartino | Karim Khoja, on behalf of h... |
Jun. 11, 2021
Apr. 22, 2021 |
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent |
Moshe Amiad, Yariv Amiad, R... |
Oct. 4, 2014
Sep. 16, 2014 |
|
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | In re Nektar Therapeutics S... |
Jan. 22, 2021
Dec. 30, 2020 |
Securities
Breach of Fiduciary Duty |
Claimant | John Carter | Jacqueline Peters v. Morgan... |
Nov. 10, 2017
Oct. 10, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | William M. Samsel | Peter R. de Castro v. UBS F... |
Oct. 6, 2017
Aug. 29, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Rhonda Grallnick v. Charles... |
Apr. 15, 2017
Mar. 8, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$1,000,000
|
$1,000,000
|
Jon S. Tigar | Inchen Huang, individually ... |
Dec. 30, 2022
Aug. 29, 2022 |
Securities
Breach of Fiduciary Duty
Verdict:
$1,137,920
|
$1,137,920
|
Karen Lamoreaux, Karen Lamo... |
Apr. 13, 2013
Mar. 27, 2013 |
|
Securities
Violation of California Securities Law |
Expungement | Howard R. Gaines | Rosemarie McBride v. Wells ... |
Aug. 25, 2017
Jun. 28, 2017 |
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Tamer Salameh, et al., v. T... |
Apr. 30, 2011
Apr. 12, 2011 |
|
Securities
Securities Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
Fernando L. Aenlle-Rocha | Killyoung Oh, individually,... |
Nov. 15, 2024
Mar. 19, 2024 |
Securities
Stocks
Verdict:
$9,500,000
|
$9,500,000
|
In Re McKesson HBOC Inc. Se... |
Jan. 12, 2013
Nov. 28, 2012 |