56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Mixed |
Bill John Callis v. Banc of... |
Mar. 17, 2012
Feb. 14, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Ryan Kelly and Louis Mastro... |
Nov. 15, 2014
Oct. 20, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Bernard Greenapple, individ... |
Feb. 3, 2007
Nov. 1, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Larry McCumber and Joyce Mc... |
May 18, 2013
Apr. 30, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal with Leave |
In re Zynga Inc. Securities... |
Apr. 5, 2014
Feb. 25, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Injunction |
Securities and Exchange Com... |
Apr. 9, 2016
Mar. 1, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
In re Bridgepoint Education... |
Nov. 15, 2014
Oct. 17, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Claims Denied |
Weill Dai, Sehat Sutardja, ... |
Mar. 22, 2014
Mar. 4, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$88,470
|
$88,470
|
Victor Chang, individually ... |
Oct. 31, 2009
Sep. 10, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$450,000
|
$450,000
|
The Tanya Martino Trust UAD... |
Mar. 17, 2007
Nov. 10, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$149,763
|
$149,763
|
Wells Fargo Advisors LLC v.... |
Jun. 1, 2013
May 16, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
$5,000,000
|
$5,000,000
|
Panther Partners Inc. v. Ik... |
Apr. 27, 2013
Mar. 25, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Equitable Settlement |
Securities and Exchange Com... |
Mar. 10, 2012
Feb. 13, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$3,750,000
|
$3,750,000
|
U.S. Securities and Exchang... |
Jun. 1, 2013
May 15, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
-$1
|
-$1
Mixed Result |
Piper Jaffray & Co. v. Lawr... |
Mar. 31, 2007
Nov. 3, 2006 |
|
|
Securities
Securities Exchange Act
Verdict:
$195,000
|
$195,000
|
David Guerra, Individually ... |
Nov. 26, 2016
Oct. 24, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$49,976
|
$49,976
|
Judith A. Malone v. Fidelit... |
Nov. 5, 2011
Jul. 30, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
John S. Surinchak and Linda... |
Jan. 27, 2007
Nov. 3, 2006 |
|
|
Securities
Suitability
Verdict:
$6,121
|
$6,121
|
Michael Bodnar v. Sagepoint... |
Nov. 15, 2014
Oct. 20, 2014 |
|
|
Securities
Fraud
Verdict:
$91,000
|
$91,000
|
Susan Emadi v. Donald & Com... |
Aug. 21, 1999
Apr. 15, 1999 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$150,000
|
$150,000
|
Confidential |
Jan. 1, 2001
Dec. 15, 2000 |
|
|
Securities
Suitability
Verdict:
$17,680
|
$17,680
|
Stephen Picarello on behalf... |
May 25, 2013
May 8, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$1,366,460
|
$1,366,460
|
Wells Fargo Advisors LLC fk... |
Nov. 15, 2014
Oct. 21, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
R. Kent Emigh, individually... |
Aug. 27, 2011
Aug. 2, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,460,000
|
$1,460,000
|
Horace Grant v. Morgan Keeg... |
Oct. 24, 2009
Sep. 11, 2009 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$574,021/Equitable relief on cross-complaint |
Wells Fargo Investments LLC... |
Nov. 14, 2009
Jul. 26, 2009 |
|
|
Securities
Professional Malpractice
Verdict:
$4,500,000
|
$4,500,000
|
In re: Wireless Facilities ... |
May 16, 2009
Aug. 29, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,105,000
|
$1,105,000
|
Douglas Beal, Marjorie Gill... |
Nov. 12, 2016
Oct. 4, 2016 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mehmet Akin, Adrian Akin v.... |
Dec. 10, 2016
Oct. 20, 2016 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Eric Allen Sigdestad, Shane... |
May 25, 2013
May 13, 2013 |