56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent. |
Elliott Z. Seff | Landis S. Everson, Trustee ... |
May 27, 2006
Sep. 2, 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 Exchange Act
Verdict:
$22,482,300
|
$22,482,300
|
Securities and Exchange Com... |
May 31, 2014
May 15, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Kurtis Fechtmeyer v. Pacifi... |
Apr. 1, 2006
Aug. 31, 2005 |
|
|
Securities
Violations of Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Tom Palny, Xuecheng Yang v.... |
May 31, 2014
May 13, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$750,000
|
$750,000
|
Hillcrest Children's Center... |
May 31, 2014
May 12, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Louis Saadeh, individually ... |
Dec. 20, 2014
May 21, 2014 |
|
|
Securities
Fraud
Verdict:
$58,183
|
$58,183
|
James H. Donell, Receiver f... |
Jan. 3, 2015
Apr. 29, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kelsey Phipps Living Trust ... |
Apr. 1, 2006
Dec. 24, 2005 |
|
|
Securities
Breach of Contract
Verdict:
$1,165,000
|
$1,165,000
|
Albertus Niehuis Jr., Andre... |
May 24, 2014
Apr. 30, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
In re Hot Topic Inc. Securi... |
Jan. 3, 2015
May 2, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Teresa Sue Harmon v. Wells ... |
May 24, 2014
May 2, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Thomas Frances Nelson v. UB... |
Jan. 3, 2015
Apr. 29, 2014 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
$411,624 to Respondent |
Charles Tom Lawson v. Morga... |
May 17, 2014
Apr. 21, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$50,000
|
$50,000
|
Deanna Lynn Buchholz v. Cam... |
May 24, 2014
Apr. 28, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$155,450
|
$155,450
|
John C. Jones v. Wells Farg... |
Jun. 12, 2010
May 20, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Thomas Edwin Logan v. Linco... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Fraud
Verdict:
$173,000,000
|
$173,000,000
|
Securities and Exchange Com... |
May 22, 2010
May 7, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
White Pacific Securities In... |
May 15, 2010
Apr. 23, 2010 |
|
|
Securities
Breach of Promissory Note
Verdict:
$803,342
|
$803,342
|
Wells Fargo Advisors LLC v.... |
Apr. 6, 2013
Mar. 25, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Nathaniel L. Anderson, et a... |
Sep. 7, 2013
Aug. 23, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$435,383
|
$435,383
|
Patrick "Brian" FitzWilliam... |
Sep. 7, 2013
Aug. 15, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Alaris F. Thorns IRA Rollov... |
Aug. 31, 2013
Aug. 14, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Yvonne D. Kloehn v. Wells F... |
Aug. 24, 2013
Aug. 12, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal with Leave to Amend |
Cement & Concrete Workers D... |
Aug. 24, 2013
Aug. 9, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
$2,125,000
|
$2,125,000
|
Zachary Lewy, Sampson Daruv... |
Aug. 31, 2013
Aug. 5, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Respondent |
Fred S. Beaton and Fred S. ... |
Aug. 17, 2013
Aug. 2, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal; Equitable Agreement |
Patrick J. Rohan Trust, et ... |
Feb. 5, 2011
Jan. 7, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Defense |
Jimmy D. Hair, Karen E. Hai... |
Feb. 5, 2011
Jan. 7, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$3,350,000
|
$3,350,000
|
In re Neopharm Inc. Securit... |
Feb. 5, 2011
Jan. 13, 2011 |