56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$110,000
|
$110,000
|
Irma T. Agee, individually ... |
Oct. 24, 2009
Jul. 16, 2009 |
|
|
Securities
Securities Fraud
Verdict:
$3,750,000
|
$3,750,000
|
U.S. Securities and Exchang... |
Jun. 1, 2013
May 15, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Nancy Jokerst, Rev. William... |
Nov. 14, 2009
Jul. 22, 2009 |
|
|
Securities
Fraud
Verdict:
$1,688,000
|
$1,688,000
|
Lanfear Capital Advisers LL... |
Oct. 17, 2009
Jul. 6, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$4,354,790
|
$4,354,790
|
Wedbush Morgan Securities I... |
Nov. 14, 2009
Jul. 20, 2009 |
|
|
Securities
Securities Fraud
Verdict:
$448,562
|
$448,562
|
Suzy Asad v ProEquities Inc... |
May 25, 2013
May 14, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Eric Allen Sigdestad, Shane... |
May 25, 2013
May 13, 2013 |
|
|
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
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Lisa E. Coppola v. Juniper ... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$355,782
|
$355,782
|
Morgan Stanley Smith Barney... |
Apr. 5, 2014
Mar. 14, 2014 |
|
|
Securities
Violations of Exchange Act
Verdict:
$500,000,000
|
$500,000,000
|
Maine State Retirement Syst... |
May 18, 2013
Apr. 17, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$150,000
|
$150,000
|
Confidential |
Jan. 1, 2001
Dec. 15, 2000 |
|
|
Securities
Violations of Exchange Act
Verdict:
$2,500,000
|
$2,500,000
|
Securities and Exchange Com... |
Nov. 5, 2011
Aug. 5, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,105,000
|
$1,105,000
|
Douglas Beal, Marjorie Gill... |
Nov. 12, 2016
Oct. 4, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$17,400,000
|
$17,400,000
|
People of the State of Cali... |
Apr. 5, 2014
Feb. 25, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$30,000,000
|
$30,000,000
|
US Airways Inc. v. Oppenhei... |
Feb. 23, 2013
Jan. 31, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$934,193
|
$934,193
|
Susan K. Myers, individuall... |
Feb. 23, 2013
Feb. 12, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Equitable Settlement |
Casey v. Sybase Inc., et al. |
Jul. 23, 2011
Jun. 7, 2011 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
William Ayers v. James Clar... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$62,027
|
$62,027
|
Securities and Exchange Com... |
Mar. 7, 2015
Jan. 5, 2015 |
|
|
Securities
Expungement |
Expungement | Morris S. Getzels | Jeffrey Aaron Horn v. RBC C... |
Sep. 1, 2017
Jun. 1, 2017 |
|
Securities
Breach of Duty
Verdict:
$800,000
|
$800,000
|
Allen Paulson Living Trust ... |
Jun. 20, 2009
Feb. 25, 2009 |
|
|
Securities
Securities Exchange Act |
Dismissal | Jon S. Tigar | City of Pontiac General Emp... |
Jan. 13, 2023
Mar. 1, 2022 |
|
Securities
Securities Exchange Act |
Dismissal | Edward J. Davila | In re: VMWare Inc. Stockhol... |
Mar. 1, 2024
Mar. 21, 2023 |
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Wells Fargo Advisors, LLC v... |
Jan. 18, 2014
Dec. 23, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kurt Bochner, individually ... |
Oct. 1, 2011
Jul. 20, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Brad Johnson v. Wells Fargo... |
Jan. 4, 2014
Dec. 13, 2013 |
|
|
Securities
NASD
Verdict:
$82,750
|
$82,750
|
J. Jeffrey Donnell v. Citig... |
Dec. 23, 2006
Apr. 11, 2006 |
|
|
Securities
Expungement |
Expungement | John J. Fitzpatrick Jr. | Daniel Shiek Ahmad v. Natio... |
Mar. 23, 2018
Jan. 12, 2018 |