56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Armando Palomino v. Wells F... |
May 31, 2014
Apr. 23, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Kendall C. Reed | Roger Richman v. Citigroup ... |
Apr. 15, 2006
Oct. 21, 2005 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement Denied |
Kenneth R. Hunt; Kenneth R.... |
Jan. 16, 2016
Dec. 29, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Yvonne D. Kloehn v. Wells F... |
Aug. 24, 2013
Aug. 12, 2013 |
|
|
Securities
Unfair Business Practices
Verdict:
$151,506
|
$151,506
|
Martina Hutchinson, individ... |
Mar. 8, 2014
Feb. 10, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Scott Lambert, Laura Lamber... |
Mar. 15, 2014
Feb. 11, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Wayne C. Conlee, individual... |
Mar. 8, 2014
Jan. 21, 2014 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Joseph R. Loprieato, Peggy ... |
May 24, 2014
Apr. 29, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
RESPONDENTS |
Howard Shannon | Leilah D. Schou v. RBC Dain... |
Apr. 22, 2006
Dec. 22, 2005 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Liability only |
Securities and Exchange Com... |
Jul. 21, 2007
Mar. 7, 2007 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
William Feinstein v. Merril... |
Dec. 9, 2006
Sep. 21, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Larry B. Feinberg, Juliet C... |
Sep. 7, 2013
Aug. 21, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
Roland Lee v. CapWest Secur... |
Jun. 25, 2011
May 6, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$8,750,000
|
$8,750,000
|
Samuel Hildenbrand, on beha... |
Feb. 8, 2014
Mar. 1, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
In Re Google Inc. Sharehold... |
Jan. 23, 2016
Dec. 9, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$85,000
|
$85,000
|
Securities and Exchange Com... |
Sep. 6, 2014
Feb. 21, 2014 |
|
|
Securities
Fraud
Verdict:
$173,000,000
|
$173,000,000
|
Securities and Exchange Com... |
May 22, 2010
May 7, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Gary Moye, Joel Vanblerkom ... |
Jan. 11, 2014
Dec. 20, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Bernd Liebergesell, Annette... |
Aug. 16, 2014
Jul. 21, 2014 |
|
|
Securities
Negligence
Verdict:
$18,500
|
$18,500
|
Jeanne Johnson v. UBS Finan... |
Jan. 29, 2011
Dec. 28, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
$857,314
|
$857,314
|
Securities and Exchange Com... |
Aug. 30, 2014
May 22, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$10,000,000
|
$10,000,000
|
Carl Stork v. John Textor, ... |
Apr. 13, 2013
Nov. 29, 2012 |
|
|
Securities
Negligent Misrepresentation
Verdict:
$3,850,000
|
$3,850,000
|
Anne Ellington | Baldwin, et al. v. Greenber... |
Nov. 23, 1993
Oct. 26, 1993 |
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement |
Robert Brian Reynolds v. Mo... |
May 31, 2014
May 9, 2014 |
|
|
Securities
Fraud
Verdict:
$150,000
|
$150,000
|
Securities and Exchange Com... |
Dec. 10, 2011
Nov. 22, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Sofia Zoumboulakis, derivat... |
Aug. 30, 2014
Aug. 7, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$110,000
|
$110,000
|
The Delp Heritage Trust v. ... |
Aug. 16, 2014
Jul. 22, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Deborah J. Hill, individual... |
Oct. 30, 2010
Oct. 2, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,000
|
$80,000
|
Securities and Exchange Com... |
Nov. 20, 2010
Oct. 22, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$218,881.86 attorney fees and costs awarded to respondent Kristian Colvin |
Charles Schwab & Co. Inc. v... |
Nov. 20, 2010
Oct. 20, 2010 |