56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Scott Lambert, Laura Lamber... |
Mar. 15, 2014
Feb. 11, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Wayne C. Conlee, individual... |
Mar. 8, 2014
Jan. 21, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bank of Nevada v. UBS Finan... |
Mar. 16, 2013
Mar. 5, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
Steve Crotteau, individuall... |
May 28, 2011
May 2, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$2,900,000
|
$2,900,000
|
Cha, et al. v. E1 Asset Man... |
Sep. 5, 2009
May 29, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Jaimie Davis v. WFP Securit... |
Apr. 14, 2012
Feb. 29, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$15,250,000
|
$15,250,000
|
Thomas McKenna, individuall... |
Jun. 29, 2013
May 23, 2013 |
|
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Defense |
Linden Pasadena Properties,... |
Jan. 8, 2011
Dec. 2, 2010 |
|
|
Securities
Stocks
Verdict:
$10,000,000
|
$10,000,000
|
In Re Coventry Health Care ... |
Aug. 17, 2013
Jul. 15, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Michael H. Resh, William Sc... |
Oct. 10, 2015
Jan. 7, 2015 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Karl Townsend, Karen Fann T... |
Oct. 20, 2012
Sep. 25, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Sheldon Bloch, Jacki Conoll... |
Apr. 13, 2013
Mar. 28, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Expungement |
Richard W. Barrett v. J.P M... |
Oct. 20, 2012
Sep. 24, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$4,366,790
|
$4,366,790
|
Securities and Exchange Com... |
Oct. 31, 2015
Jul. 17, 2015 |
|
|
Securities
Breach of Contract
Verdict:
$62,073
|
$62,073
|
Merrill Lynch, Pierce, Fenn... |
Mar. 9, 2013
Feb. 12, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Nathaniel L. Anderson, et a... |
Sep. 7, 2013
Aug. 23, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Teresa Sue Harmon v. Wells ... |
May 24, 2014
May 2, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiffs |
In re James Donzil Roberts ... |
Oct. 24, 2015
Sep. 9, 2015 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Thomas Edwin Logan v. Linco... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,137,920
|
$1,137,920
|
Karen Lamoreaux, Karen Lamo... |
Apr. 13, 2013
Mar. 27, 2013 |
|
|
Securities
Fraud
Verdict:
$249,071
|
$249,071
|
Kent E. Wilson, Michael D. ... |
Jul. 8, 2006
May 10, 2006 |
|
|
Securities
Breach of Duty
Verdict:
$1,802,860
|
$1,802,860
|
Royal Yates v. GunnAllen Fi... |
Jul. 29, 2006
May 11, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$155,450
|
$155,450
|
John C. Jones v. Wells Farg... |
Jun. 12, 2010
May 20, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Paul J. McDonough, Ellen Mc... |
Apr. 7, 2012
Mar. 12, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$435,383
|
$435,383
|
Patrick "Brian" FitzWilliam... |
Sep. 7, 2013
Aug. 15, 2013 |
|
|
Securities
NASD
Verdict:
$50,000
|
$50,000
|
John P. and Ana Jahn, Trust... |
Nov. 11, 2006
Jan. 23, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Tribank Capital Investments... |
Oct. 8, 2011
Jul. 18, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
White Pacific Securities In... |
May 15, 2010
Apr. 23, 2010 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Grimm v. E*Trade Securities... |
Mar. 9, 2013
Feb. 25, 2013 |