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56041 Rulings

Topic Case Name Published / Result

Securities

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