56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Eliseo Alatorre v. Unionban... |
Apr. 6, 2013
Mar. 21, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$75,000
|
$75,000
|
Ameriprise Financial Servic... |
Apr. 6, 2013
Mar. 18, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$991,728
|
$991,728
|
Wells Fargo Investments LLC... |
Jun. 22, 2013
Mar. 19, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
K&M Dattani Irrevocable Tru... |
Apr. 6, 2013
Mar. 22, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Richard Klein v. Charies Sc... |
Apr. 6, 2013
Mar. 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$30,000
|
$30,000
|
John Anthony Meadows, indiv... |
Sep. 20, 2014
Jul. 18, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$3,150,000
|
$3,150,000
|
Ramon Gomez, on behalf of h... |
Mar. 30, 2013
Feb. 21, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$850,000
|
$850,000
|
Securities And Exchange Com... |
Mar. 30, 2013
Feb. 27, 2013 |
|
|
Securities
Negligence
Verdict:
$118,217
|
$118,217
|
Lori A. Strayn, individuall... |
Mar. 23, 2013
Mar. 7, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Bernd Liebergesell, Annette... |
Aug. 16, 2014
Jul. 21, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$110,000
|
$110,000
|
The Delp Heritage Trust v. ... |
Aug. 16, 2014
Jul. 22, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$285,743
|
$285,743
|
Wells Fargo Advisors LLC fk... |
Jun. 4, 2011
May 2, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Diegel Family Living Trust ... |
Aug. 16, 2014
Jul. 28, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Kevin D. Swenson | Doris Rudolph v. Merrill Ly... |
Apr. 22, 2006
Nov. 30, 2005 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
RESPONDENTS |
Howard Shannon | Leilah D. Schou v. RBC Dain... |
Apr. 22, 2006
Dec. 22, 2005 |
|
Securities
Securities Fraud
Verdict:
$16,250,000
|
$16,250,000
|
Marcelo Cunha v. Hansen Nat... |
Aug. 16, 2014
Jul. 28, 2014 |
|
|
Securities
Unfair Business Practices
Verdict:
$108,000
|
$108,000
|
Willie L. Benning v. Cambri... |
Jan. 17, 2015
Jul. 30, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Kurtis Fechtmeyer v. Pacifi... |
Apr. 1, 2006
Aug. 31, 2005 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mariam Nigohosian v. Charie... |
Mar. 8, 2014
Feb. 11, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Standard Credit Securities ... |
Mar. 8, 2014
Feb. 12, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$2,490,270
|
$2,490,270
|
Morgan Keegan & Company Inc... |
Aug. 23, 2014
Aug. 1, 2014 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Justin Todd Miller v. Union... |
Aug. 23, 2014
Aug. 7, 2014 |
|
|
Securities
FINRA Rules
Verdict:
$247,641
|
$247,641
|
Kevin Christian Daniels v. ... |
Aug. 30, 2014
Aug. 13, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Elizabeth N. Steinlauf Trus... |
Aug. 30, 2014
Aug. 7, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kelsey Phipps Living Trust ... |
Apr. 1, 2006
Dec. 24, 2005 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Sofia Zoumboulakis, derivat... |
Aug. 30, 2014
Aug. 7, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Defense |
Scott Singleton v. E-Trade ... |
Oct. 31, 2015
Aug. 28, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$857,314
|
$857,314
|
Securities and Exchange Com... |
Aug. 30, 2014
May 22, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$85,000
|
$85,000
|
Securities and Exchange Com... |
Sep. 6, 2014
Feb. 21, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiffs |
In re James Donzil Roberts ... |
Oct. 24, 2015
Sep. 9, 2015 |