56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Respondent |
Fred S. Beaton and Fred S. ... |
Aug. 17, 2013
Aug. 2, 2013 |
|
|
Securities
Unfair Business Practices
Verdict:
$151,506
|
$151,506
|
Martina Hutchinson, individ... |
Mar. 8, 2014
Feb. 10, 2014 |
|
|
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
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
In re Hot Topic Inc. Securi... |
Jan. 3, 2015
May 2, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$26,050
|
$26,050
|
U.S. Bancorp Investments In... |
Oct. 13, 2012
Sep. 11, 2012 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Teresa Sue Harmon v. Wells ... |
May 24, 2014
May 2, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Grimm v. E*Trade Securities... |
Mar. 9, 2013
Feb. 25, 2013 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Jay E. Ash v. Ronald Allen ... |
Oct. 6, 2012
Sep. 6, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$36,105
|
$36,105
|
Belinda E. Bullock v. Wedbu... |
Mar. 19, 2011
Jan. 27, 2011 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal with Leave |
David Browning, individuall... |
Apr. 12, 2014
Mar. 24, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal; Equitable Agreement |
Patrick J. Rohan Trust, et ... |
Feb. 5, 2011
Jan. 7, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Permanent Injunction |
U.S. Bancorp Investments In... |
May 18, 2013
May 2, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$15,250,000
|
$15,250,000
|
Thomas McKenna, individuall... |
Jun. 29, 2013
May 23, 2013 |
|
|
Securities
Fraud
Verdict:
$117,500,000
|
$117,500,000
|
In re Mercury Interactive C... |
Dec. 1, 2007
|
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Defense |
Jimmy D. Hair, Karen E. Hai... |
Feb. 5, 2011
Jan. 7, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$3,350,000
|
$3,350,000
|
In re Neopharm Inc. Securit... |
Feb. 5, 2011
Jan. 13, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$35,043
|
$35,043
|
Hildur M. French v. The Sec... |
Mar. 19, 2011
Jan. 27, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$477,867
|
$477,867
|
Alison Gordon, as Successor... |
Jan. 29, 2011
Dec. 31, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$208,000
|
$208,000
|
The Rhoda Seidler Revocable... |
Feb. 5, 2011
Jan. 4, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Larry McCumber and Joyce Mc... |
May 18, 2013
Apr. 30, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Karl Townsend, Karen Fann T... |
Oct. 20, 2012
Sep. 25, 2012 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Expungement |
Richard W. Barrett v. J.P M... |
Oct. 20, 2012
Sep. 24, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Oppenheimer & Co. v. Citigr... |
Feb. 5, 2011
Jan. 4, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$22,482,300
|
$22,482,300
|
Securities and Exchange Com... |
May 31, 2014
May 15, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Thomas Frances Nelson v. UB... |
Jan. 3, 2015
Apr. 29, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Chris's Stuff 401K Profit S... |
Jun. 28, 2014
Feb. 21, 2014 |
|
|
Securities
Fraud
Verdict:
$1,367,000
|
$1,367,000
|
Heinrich Hardt, Araceli Har... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$47,796
|
$47,796
|
Peter E. Williams III v. Go... |
Jan. 29, 2011
Dec. 29, 2010 |