56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Mathew Zuckerman, Intermoun... |
Sep. 3, 2011
Mar. 30, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$149,763
|
$149,763
|
Wells Fargo Advisors LLC v.... |
Jun. 1, 2013
May 16, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
A. J. Copeland v. Raymond J... |
May 18, 2013
May 6, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$4,253,000
|
$4,253,000
|
George M. Weiner | REFCO Securities, Inc. v. C... |
Jan. 31, 1998
Jul. 22, 1997 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Gilbert H. Quintana, IRA; G... |
Apr. 28, 2012
Feb. 28, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Hung Hoang v. TD Ameritrade... |
Nov. 21, 2009
Jul. 20, 2009 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Michael Fairservice, Locals... |
May 11, 2013
Jun. 22, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,218,220
|
$1,218,220
|
Narramore Christian Foundat... |
Mar. 24, 2007
Nov. 27, 2006 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Eric Allen Sigdestad, Shane... |
May 25, 2013
May 13, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Rhonda Foster v. Private As... |
Mar. 17, 2012
Feb. 20, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
In Re Violin Memory Securit... |
Nov. 22, 2014
Oct. 31, 2014 |
|
|
Securities
Foreign Corrupt Practices Act
Verdict:
$55,000,000
|
$55,000,000
|
In the Matter of Bio-Rad La... |
Nov. 29, 2014
Nov. 3, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$41,251
|
$41,251
|
Mary Nassimi v. Brookstreet... |
Feb. 3, 2007
Nov. 7, 2006 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Mixed |
Bill John Callis v. Banc of... |
Mar. 17, 2012
Feb. 14, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$60,000
|
$60,000
|
Jeanne Van Order v. Securit... |
Jan. 27, 2007
Nov. 10, 2006 |
|
|
Securities
Fraud
Verdict:
$1,182,840
|
$1,182,840
|
Consuelo B. Marshall | Thomas E. Snooks v. SRS Tec... |
Feb. 4, 1995
Oct. 24, 1994 |
|
Securities
Securities Exchange Act
Verdict:
$3,300,000
|
$3,300,000
|
In Re Maxwell Technologies ... |
Nov. 22, 2014
Nov. 3, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$17,384
|
$17,384
|
Harvest & Rowe Inc. Retirem... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$713,230
|
$713,230
|
Wells Fargo Advisors, LLC, ... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Claimant |
Grant Arthur Gochin v. UBS ... |
Jan. 24, 2015
Dec. 14, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Lisa E. Coppola v. Juniper ... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
$301,875
|
$301,875
|
Randall A. Tommerup, indivi... |
Jun. 1, 2013
Apr. 1, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Robert R. Banks, Robert R. ... |
Oct. 22, 2011
Jul. 22, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Allianz Risk Transfer Inc.,... |
Nov. 15, 2014
Oct. 30, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$437,626
|
$437,626
|
Manuel Bernal, Jean Bernal,... |
Oct. 22, 2011
Jul. 25, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Massachusetts Mutual Life I... |
Sep. 1, 2012
Apr. 16, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Department of Enforcement v... |
Mar. 23, 2013
Feb. 21, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Stichting Pensioenfonds ABP... |
Sep. 1, 2012
Aug. 9, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$105,000,000
|
$105,000,000
|
In Re: Medical Capital Secu... |
Feb. 15, 2014
Apr. 30, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Equitable Settlement |
Securities and Exchange Com... |
Mar. 10, 2012
Feb. 13, 2012 |