56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kathleen Chen v. Morgan Sta... |
Mar. 31, 2007
Jan. 30, 2007 |
|
|
Securities
Breach of Contract
Verdict:
$1,500,000
|
$1,500,000
|
Bruce Wiegand v. Wachovia S... |
Apr. 14, 2007
Dec. 28, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$17,361
|
$17,361
|
Wells Fargo Advisors LLC fo... |
Sep. 18, 2010
Aug. 22, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents, Counter-Respondents |
Rina Schwarz, individually,... |
Sep. 4, 2010
Aug. 12, 2010 |
|
|
Securities
Employment
Verdict:
$1,282,020
|
$1,282,020
|
Wells Fargo Advisors LLC v.... |
Jun. 28, 2014
Jun. 10, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$100,000
|
$100,000
|
Anthony Cowan, Jennifer Cow... |
Jun. 28, 2014
Jun. 6, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Michael Szymanski and Beth ... |
Apr. 14, 2007
Jan. 19, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$1,012,000 (plus interest) |
Nickie Lee Silk as trustee ... |
Sep. 18, 2010
Aug. 10, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Bricklayers and Trowel Trad... |
Feb. 11, 2012
Jan. 13, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$338,646 (plus interest) |
Lim Cheng Low, Lee Fang Ng ... |
Sep. 4, 2010
Aug. 12, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Alfred L. Davenport Jr., in... |
Sep. 4, 2010
Aug. 7, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Dhruv Khanna, individually ... |
Jun. 4, 2016
Feb. 4, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$5,500,000
|
$5,500,000
|
James Rafton, Trustee of th... |
Dec. 3, 2011
Nov. 10, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
Young Soo So v. Shin Han Gl... |
Mar. 31, 2007
Feb. 6, 2007 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiff |
U.S. Securities and Exchang... |
Sep. 7, 2013
Aug. 16, 2013 |
|
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
Ned B. Young | Amy Wellman and Harold Well... |
Feb. 18, 2006
Oct. 11, 2005 |
|
Securities
Fraud
Verdict:
$327,245
|
$327,245
|
Laurence Rivkin, individual... |
Dec. 12, 2009
Sep. 30, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$271,250
|
$271,250
|
Dennis M. Nigro, The Dennis... |
Mar. 31, 2007
Feb. 16, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles Liotta Trust dated ... |
Jul. 12, 2014
Jun. 24, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$1,030,545 (for Shemano Group) |
The Shemano Group Inc. (Cla... |
Oct. 27, 2007
Jul. 5, 2007 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Albert Bayley Hoeflich, Edw... |
Jul. 4, 2014
Jun. 17, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$3,668,740
|
$3,668,740
|
Bruce L. Hopper Rollover IR... |
Feb. 14, 2015
Jun. 3, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mari F. Palash and Andrea L... |
Mar. 31, 2007
Feb. 22, 2007 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Ryan Kelly and Louis Mastro... |
Nov. 15, 2014
Oct. 20, 2014 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement |
Scott Blair v. UBS Financia... |
May 21, 2016
Apr. 18, 2016 |
|
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
William Fieldman | Confidential |
Dec. 14, 1996
Nov. 1, 1996 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Jeffrey Harris and Mary And... |
Mar. 31, 2007
Feb. 2, 2007 |
|
|
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:
-$1
|
-$1
Defense |
Eric T. Besag, Eric T. Besa... |
Feb. 19, 2011
Jan. 6, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$66,800
|
$66,800
|
Thomas E. Turk, Thomas E. T... |
Mar. 21, 2009
Feb. 2, 2009 |