56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Defamation
Verdict:
$400,000
|
$400,000
|
Arthur T. Berggren | Michael William Sexton v. B... |
Feb. 9, 2018
Dec. 28, 2017 |
|
Securities
Breach of Fiduciary Duty |
Claimant | John Carter | Jacqueline Peters v. Morgan... |
Nov. 10, 2017
Oct. 10, 2017 |
|
Securities
Expungement |
Respondent | Arocles Aguilar | Xi Chen v. UBS Financial Se... |
Nov. 10, 2017
Sep. 12, 2017 |
|
Securities
Securities Fraud
Verdict:
$6,400,000
|
$6,400,000
|
Peter H. Kirwan | City of Warren Police and F... |
Sep. 15, 2017
Jul. 28, 2017 |
|
Securities
Breach of Contract |
Respondent | Guenter S. Cohn | Catherine Grace Bruno v. UB... |
Jan. 12, 2018
Aug. 2, 2017 |
|
Securities
Breach of Fiduciary Duty |
Dismissal | Harry G. Mason | Mary C. Lee v. AXA Advisors... |
Feb. 2, 2018
Dec. 4, 2017 |
|
Securities
Employment |
Expungement | Jeffrey R. Jury | Kevin Brooks Kugley v. Meri... |
Oct. 6, 2017
Aug. 4, 2017 |
|
Securities
Violation of California Securities Law |
Expungement | Howard R. Gaines | Rosemarie McBride v. Wells ... |
Aug. 25, 2017
Jun. 28, 2017 |
|
Securities
Breach of Promissory Note
Verdict:
$323,353
|
$323,353
|
Herbert A. Schwartz | Morgan Stanley Smith Barney... |
Oct. 6, 2017
Aug. 7, 2017 |
|
Securities
Fraud |
Respondent | Peter D. Steinbroner | William J. Roberts v. TD Am... |
Dec. 15, 2017
Dec. 1, 2017 |
|
Securities
Promissory Note |
Respondent | Mary M. O'Neil | Jin Kyun Park v. Wells Farg... |
Dec. 8, 2017
Nov. 17, 2017 |
|
Securities
Unsuitability
Verdict:
$170,062
|
$170,062
|
Debra Bitney, individually ... |
Jan. 26, 2018
Dec. 12, 2017 |
|
|
Securities
Negligent Misrepresentation |
Expungement | Michael Harrison | Charles W. Morgan, individu... |
Oct. 6, 2017
Aug. 22, 2017 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert Rosen | Jason Hallmark v. John Davi... |
Aug. 25, 2017
Jul. 14, 2017 |
|
Securities
FINRA Rules |
Expungement | Richard J. Stall Jr. | James Edward Chiate v. Merr... |
Feb. 9, 2018
Nov. 22, 2017 |
|
Securities
Securities Fraud |
Plaintiff | Otis D. Wright II | Federal Trade Commission v.... |
Jan. 26, 2018
Oct. 23, 2017 |
|
Securities
Breach of Contract |
Respondent | George L. Tindall | Cyrus Tabaz v. Unionbanc In... |
Feb. 9, 2018
Nov. 28, 2017 |
|
Securities
Breach of Contract |
Expungement | Kirtley M. Thiesmeyer | Charles Schwab & Co. Inc. v... |
Jan. 12, 2018
Jun. 19, 2017 |
|
Securities
Financial Elder Abuse
Verdict:
$1,797,054
|
$1,797,054
|
A. Joel Klein | Agatha Dancy, individually ... |
Sep. 8, 2017
Jul. 12, 2017 |
|
Securities
Securities Fraud |
Expungement | William M. Samsel | Laurie Seeman, an individua... |
Oct. 6, 2017
Sep. 1, 2017 |
|
Securities
Expungement |
Expungement | Dean J. Dietrich | Michael Anthony Destro v. W... |
Jan. 5, 2018
Nov. 16, 2017 |
|
Securities
Breach of Fiduciary Duty |
Dismissal | Mark R. Lee | Sujata Vyas v. First Affili... |
Nov. 10, 2017
Sep. 9, 2017 |
|
Securities
Securities Fraud |
Respondent | Michael Lancaster Garcia | David Robert Bennette v. We... |
Jan. 26, 2018
Dec. 18, 2017 |
|
Securities
Negligence |
Expungement | Walter S. Schwartz | Janet E. Russ, individually... |
Jan. 12, 2018
Jul. 26, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Mark Kalish | Larry Haberkorn v. Wells Fa... |
Sep. 1, 2017
Jun. 22, 2017 |
|
Securities
Breach of Contract |
Respondent | Brian B. Torsney Sr. | Bradley Aaron Sayre v. J.P.... |
Jan. 12, 2018
Aug. 3, 2017 |
|
Securities
Professional Malpractice
Verdict:
$0
|
$0
|
Kenan Oldham | Joyce Kossack, Trustee-the ... |
Jun. 27, 1998
Mar. 25, 1998 |
|
Securities
Commodities
Verdict:
$624,000,000
|
$624,000,000
|
In re Countrywide Financial... |
Aug. 12, 2010
Jul. 31, 2010 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | David A. Schuler | Ellen E. Robertson v. Morga... |
Jan. 12, 2018
Aug. 2, 2017 |
|
Securities
Fraud
Verdict:
$47,449
|
$47,449
|
Chris Vovos v. The Boston G... |
Jun. 27, 1998
May 14, 1998 |