56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$3,800,000
|
$3,800,000
|
In the Matter of SAP SE |
Feb. 20, 2016
Feb. 1, 2016 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
George Sardeson, Florence T... |
Dec. 30, 2006
Apr. 21, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Dismissal |
Carolyn Turner v. Robert H.... |
May 28, 2011
Apr. 15, 2011 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Dismissal |
Christopher D. White v. Ric... |
Feb. 15, 2014
Jan. 28, 2014 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Ernest C. Coneen, The Conee... |
Jul. 4, 2014
Jan. 29, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Sharyl J. Lee, individually... |
Apr. 27, 2013
Apr. 9, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$117,000,000
|
$117,000,000
|
In re HealthSouth Corp. Sec... |
Feb. 12, 2011
May 12, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Supplemental Disclosures |
Suzanne Newman, individuall... |
Mar. 1, 2014
Jan. 28, 2014 |
|
|
Securities
Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Michael McPhail, Robert Bar... |
Mar. 7, 2009
Nov. 10, 2008 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Gary Varjabedian, on behalf... |
Feb. 13, 2016
Jan. 13, 2016 |
|
|
Securities
Breach of Contract
Verdict:
$3,262,300
|
$3,262,300
|
Stephen A. Whittington, et ... |
Jan. 24, 2009
Nov. 3, 2008 |
|
|
Securities
Breach of Promissory Note
Verdict:
$890,814
|
$890,814
|
Morgan Stanley Smith Barney... |
Apr. 20, 2013
Apr. 8, 2013 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Wedbush Securities Inc. v. ... |
Oct. 18, 2014
Apr. 2, 2014 |
|
|
Securities
Unfair Business Practices
Verdict:
$14,500
|
$14,500
|
James Gordon v. E Trade Sec... |
Mar. 25, 2017
Jan. 24, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$100,000 upon assignment of interests in the Domin-8 investment |
Lawrence Ngou v. DeWaay Fin... |
Feb. 26, 2011
Jan. 19, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Brocade Communications Syst... |
Jan. 17, 2009
Dec. 12, 2008 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Jeffrey Franklin, Moose Pro... |
Apr. 27, 2013
Apr. 10, 2013 |
|
|
Securities
Fraud
Verdict:
$73,150,000
|
$73,150,000
|
Securities and Exchange Com... |
Nov. 6, 2010
Oct. 16, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$138,200
|
$138,200
|
Sterling Casualty Insurance... |
Jan. 24, 2009
Dec. 19, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,000
|
$80,000
|
Daniel Hurley v. Northeast ... |
Jan. 17, 2009
Dec. 2, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Saadeh Corporation v. Merri... |
May 12, 2012
Oct. 4, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Stephen P. Jackson v. E-Tra... |
Mar. 28, 2015
Feb. 12, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denied |
Dennis Rosenstock v. UBS Fi... |
Jan. 17, 2009
Dec. 17, 2008 |
|
|
Securities
Securities Fraud
Verdict:
$8,500,000
|
$8,500,000
|
Joe M. Wiley, individually ... |
Jul. 25, 2015
Jun. 22, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
City of Pontiac General Emp... |
May 19, 2012
Mar. 30, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$14,900,000
|
$14,900,000
|
In Re Hot Topic Inc. Securi... |
Jul. 25, 2015
Jun. 30, 2015 |
|
|
Securities
Negligent Misrepresentation
Verdict:
$3,850,000
|
$3,850,000
|
Anne Ellington | Baldwin, et al. v. Greenber... |
Nov. 23, 1993
Oct. 26, 1993 |
|
Securities
Securities Fraud
Verdict:
$1,700,000
|
$1,700,000
|
Robert Scott v. Zst Digital... |
May 4, 2013
Mar. 27, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Ralph Rugolo v. Peter Antho... |
Apr. 27, 2013
Apr. 11, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$16,250,000
|
$16,250,000
|
Marcelo Cunha v. Hansen Nat... |
Aug. 16, 2014
Jul. 28, 2014 |