57555 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Dismissal |
Stephanie Mallen v. Alphate... |
Aug. 31, 2013
Mar. 28, 2013 |
|
|
Securities
Securities Exchange Act |
Dismissal | Jeffrey S. White | In re: Silverlake Group LLC... |
Sep. 22, 2023
Apr. 26, 2023 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kenneth A. Schilling, Lesle... |
Jun. 21, 2014
Jun. 3, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Susan Pasillo and Mark Pasi... |
Nov. 30, 2013
Nov. 15, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$45,000
|
$45,000
|
Jacqueline Picquelle v. Sco... |
Apr. 2, 2011
Mar. 15, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Netflix, Inc. Securit... |
Sep. 7, 2013
Aug. 20, 2013 |
|
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Brandi Rose Stahl v. Lincol... |
Mar. 15, 2019
Jan. 22, 2019 |
|
Securities
Expungement |
Expungement | Kevin K. Forrester | Nisha Sandeep Varma v. LPL ... |
May 31, 2019
Apr. 4, 2019 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Lacey Odis Patrick Corbett ... |
Sep. 29, 2012
Aug. 30, 2012 |
|
|
Securities
Securities Fraud |
Respondent | Susan Romano | George Lawlor v. Merrill Ly... |
May 3, 2019
Mar. 21, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Eric T. Besag, Eric T. Besa... |
Feb. 19, 2011
Jan. 6, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Dismissal |
NestWorth Inc. v. Prager & ... |
Aug. 9, 2014
Jul. 10, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Frank Charles Miller v. Wel... |
Sep. 7, 2013
Aug. 20, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
John Kari Agamalian, John K... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$2,300,000
|
$2,300,000
|
Washington Umberto Cinel v.... |
Jul. 28, 2012
Jun. 19, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Donald Adams, Suvawinds Inc... |
Feb. 11, 2017
Dec. 5, 2016 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Joseph R. Loprieato, Peggy ... |
May 24, 2014
Apr. 29, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Heather Carter Molin v. Pat... |
May 4, 2013
Apr. 19, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Frank Meyers, individually;... |
Jan. 11, 2019
Oct. 4, 2018 |
|
Securities
FINRA Rules
Verdict:
$500,000
|
$500,000
|
In the Matter of Department... |
Dec. 20, 2014
Apr. 24, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiff |
U.S. Securities and Exchang... |
Sep. 7, 2013
Aug. 16, 2013 |
|
|
Securities
Expungement |
Expungement | Louis H. Miron | Robert Emmett Gill v. J.P. ... |
Mar. 15, 2019
Jan. 16, 2019 |
|
Securities
Suitability
Verdict:
$6,121
|
$6,121
|
Michael Bodnar v. Sagepoint... |
Nov. 15, 2014
Oct. 20, 2014 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
$675,000 for respondent/cross-complainant Ina; $200,000 for respondent/cross-complainant Morilak; $733,000 for respondent/cross-complainant Parziale |
Banc of America Investment ... |
Jun. 9, 2007
Sep. 27, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$550,505
|
$550,505
|
The Selan Family Trust dd A... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Dismissal |
Carolyn Turner v. Robert H.... |
May 28, 2011
Apr. 15, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$62,027
|
$62,027
|
Securities and Exchange Com... |
Mar. 7, 2015
Jan. 5, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kurt Bochner, individually ... |
Oct. 1, 2011
Jul. 20, 2011 |
|
|
Securities
NASD
Verdict:
$1,560,000
|
$1,560,000
|
Lance R. Freed, Judith Fish... |
Nov. 11, 2006
Jan. 25, 2006 |
|
|
Securities
Breach of Duty
Verdict:
$60,024
|
$60,024
|
Tatsuko Wein v. Wedbush Mor... |
Apr. 30, 2011
Mar. 18, 2011 |