56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Donald A. Bowman, Eileen H.... |
Apr. 4, 2015
Feb. 9, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Daniel B. Levine, Stacy B. ... |
Apr. 5, 2014
Mar. 20, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Paul Norman v. Citigroup Gl... |
Mar. 13, 2010
Feb. 25, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$3,768,330
|
$3,768,330
|
Robert Stanger v. China Ele... |
Jun. 22, 2013
Jun. 3, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Defense |
Munjal Mehta, individually ... |
Oct. 25, 2014
Jun. 19, 2014 |
|
|
Securities
Violations of Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
Roger Wheeler and Paul Whee... |
Jun. 25, 2011
Mar. 25, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Preliminary Injunction Granted |
Securities and Exchange Com... |
Dec. 6, 2014
Nov. 10, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles W. Ott, as Trustee ... |
May 7, 2011
Mar. 31, 2011 |
|
|
Securities
Violations of Exchange Act
Verdict:
$151,480
|
$151,480
|
Securities and Exchange Com... |
Apr. 19, 2014
Mar. 31, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Third-Party Claim Denied |
Maximino Gutierrez v. Inves... |
Sep. 27, 2014
Sep. 5, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Simon David Lewis, Laurens ... |
Mar. 20, 2010
Feb. 10, 2010 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement Denied | James D. Knotter | Gordon Mapes, et al. v. Rya... |
Jan. 12, 2018
Jun. 2, 2017 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Maged T. Ebrahim v. E-Trade... |
Aug. 13, 2016
Apr. 20, 2016 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Joseph Sanberg v. Fidelity ... |
Aug. 20, 2016
May 26, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissed with prejudice |
Alvin M. Kramer, TTEE, Susa... |
Jan. 17, 2009
Dec. 11, 2008 |
|
|
Securities
Breach of Contract
Verdict:
$1,000,000
|
$1,000,000
|
Larry Greg Fullmer v. Goldm... |
Dec. 6, 2008
Oct. 3, 2008 |
|
|
Securities
Securities Fraud
Verdict:
$252,455
|
$252,455
|
Securities and Exchange Com... |
Oct. 15, 2016
Sep. 23, 2016 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Clare Rose Living Trust, Da... |
Mar. 28, 2015
Feb. 20, 2015 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Randall Larry Krenzin v. We... |
May 2, 2015
Mar. 27, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Defense |
Francis J. Bonanno, individ... |
Oct. 1, 2016
Sep. 2, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Felyce Thomas v. James B. C... |
Nov. 28, 2015
Oct. 29, 2015 |
|
|
Securities
Fraud
Verdict:
$300,000
|
$300,000
|
In the Matter of Raymond J.... |
Jul. 20, 2013
Jul. 8, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Marc C. Seward v. Securitie... |
Aug. 20, 2016
May 24, 2016 |
|
|
Securities
Negligence
Verdict:
$813,475
|
$813,475
|
Mary Tiscornia, Jennifer Ti... |
Nov. 28, 2015
Nov. 4, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Greystone Park Mobile Homes... |
Jan. 7, 2012
Dec. 9, 2011 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent; Expungement |
Margaret A. Lucas v. Mannin... |
Nov. 28, 2015
Oct. 31, 2015 |
|
|
Securities
Negligence
Verdict:
$36,817,300
|
$36,817,300
|
Linda J. Beeson, et al. v. ... |
Apr. 11, 2015
Dec. 12, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$577,000
|
$577,000
|
Securities and Exchange Com... |
Sep. 24, 2016
Sep. 1, 2016 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Rodolfo C. and Maria O. Del... |
Mar. 21, 2015
Feb. 19, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Rick Cooper v. Richard Anth... |
Jun. 21, 2014
Jun. 4, 2014 |