56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Joan Levin v. Wedbush Morga... |
Jan. 27, 2007
Apr. 11, 2006 |
|
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
Howard Levine v. AtriCure Inc. |
Feb. 26, 2011
Dec. 29, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$761,497
|
$761,497
|
Securities and Exchange Com... |
Mar. 12, 2011
Jul. 28, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiff |
Securities and Exchange Com... |
Mar. 5, 2011
Feb. 3, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Dorothy Wade, on Behalf of ... |
Oct. 16, 2010
Sep. 28, 2010 |
|
|
Securities
Unfair Business Practices
Verdict:
$500,000,000
|
$500,000,000
|
David H. Luther, individual... |
May 4, 2013
Apr. 17, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Voluntary Dismissal |
Joseph J. Bevilacqua, as Tr... |
Mar. 5, 2011
Feb. 5, 2011 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Donald Stunkart v. Edward J... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
CLRA
Verdict:
-$1
|
-$1
Defense |
William Hahn, Jeane Hahn v.... |
Nov. 27, 2010
Oct. 18, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Matt Lichtenberg, David Liv... |
Dec. 4, 2010
Nov. 11, 2010 |
|
|
Securities
Violation of the Securities Act
Verdict:
-$1
|
-$1
Defense |
U.S Securities and Exchange... |
Jan. 4, 2014
Dec. 10, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Settlement/Expungement |
Michael Rocco and Christian... |
Jan. 28, 2012
Dec. 30, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$296,981
|
$296,981
|
UBS Financial Services Inc.... |
Jul. 23, 2011
May 27, 2011 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Dismissal |
Christopher D. White v. Ric... |
Feb. 15, 2014
Jan. 28, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$641,052 (including fees and costs) |
Martha C. Campbell, persona... |
Oct. 9, 2010
Sep. 17, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
James P. Beaty, Trustee of ... |
Oct. 9, 2010
Sep. 14, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$49,000
|
$49,000
|
Maimoona Mirdad v. Wachovia... |
Oct. 9, 2010
Sep. 13, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$85,061
|
$85,061
|
Ifrach Family Trust Number ... |
Oct. 9, 2010
Sep. 7, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable agreement |
Booth Family Trust, on beha... |
Dec. 24, 2010
Aug. 19, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement |
In re Wireless Facilities I... |
Oct. 9, 2010
Apr. 29, 2010 |
|
|
Securities
Fraud
Verdict:
$2,600,000
|
$2,600,000
|
Bruce Belodoff v. Netlist I... |
Nov. 27, 2010
Nov. 18, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$428,800
|
$428,800
|
Jason Solomon and Janet Sol... |
Jul. 23, 2011
May 27, 2011 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Ernest C. Coneen, The Conee... |
Jul. 4, 2014
Jan. 29, 2014 |
|
|
Securities
Derivative Suit
Verdict:
$26,650,000
|
$26,650,000
|
Anne D. Manos, James N. Mer... |
Nov. 27, 2010
Sep. 1, 2010 |
|
|
Securities
Wrongful Termination
Verdict:
-$1
|
-$1
Defense |
Albert S. Chen v. Deutsche ... |
Mar. 12, 2011
Feb. 3, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$35,750,000
|
$35,750,000
|
In re STEC Inc. Securities ... |
Mar. 23, 2013
Mar. 5, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$607,568
|
$607,568
|
UBS Financial Services Inc.... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$117,000,000
|
$117,000,000
|
In re HealthSouth Corp. Sec... |
Feb. 12, 2011
May 12, 2010 |
|
|
Securities
Fraud
Verdict:
$8,500,000
|
$8,500,000
|
In re Spectranetics Corpora... |
Mar. 5, 2011
Sep. 11, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Supplemental Disclosures |
Suzanne Newman, individuall... |
Mar. 1, 2014
Jan. 28, 2014 |