56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Sterling N. Frost | Richard Maxey v. Valic Fina... |
Mar. 15, 2019
Jan. 11, 2019 |
|
Securities
Expungement |
Claimant | Barak Raviv v. UBS Financia... |
Jun. 19, 2020
Apr. 9, 2020 |
|
|
Securities
Expungement |
Claimant | Jonathan Beukelman, Mark Ge... |
Jan. 10, 2020
Oct. 25, 2019 |
|
|
Securities
Expungement |
Expungement | George L. Tindall | Troy Nicholas Tremblay v. C... |
Mar. 15, 2019
Jan. 14, 2019 |
|
Securities
Expungement |
Expungement Denied | Jonathan B. Gilbert | Linda Lundstrom Cook v. VSR... |
Apr. 12, 2019
Feb. 27, 2019 |
|
Securities
Securities Fraud
Verdict:
$240,000,000
|
$240,000,000
|
Jon S. Tigar | In Re Wells Fargo & Company... |
Jun. 28, 2019
May 14, 2019 |
|
Securities
Securities Fraud
Verdict:
$1,250,000
|
$1,250,000
|
Beth L. Freeman | Spencer Wong, Individually ... |
Apr. 23, 2021
Mar. 25, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$640,000
|
$640,000
|
George H. Wu | Scott C. Hartman, individua... |
Aug. 12, 2022
Feb. 18, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$154,687,500
|
$154,687,500
|
Stephen V. Wilson | In Re Snap Inc. Securities ... |
May 1, 2020
Mar. 20, 2020 |
|
Securities
Securities Fraud
Verdict:
$10,000,000
|
$10,000,000
|
Larry A. Burns | Ervin Derr and Peter Shoema... |
Sep. 23, 2022
Aug. 15, 2022 |
|
Securities
Expungement |
Claimant | Stephanie Devan Abee v. Kes... |
Nov. 1, 2019
Sep. 17, 2019 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,000,000
|
$1,000,000
|
Haywood S. Gilliam Jr. | Christopher Vataj v. Willia... |
Jul. 23, 2021
Apr. 20, 2021 |
|
Securities
Verdict:
$1,500,000
|
$1,500,000
|
Thomas S. Hixson | United States of America v.... |
Apr. 1, 2022
Mar. 3, 2022 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Mark Lee Manoogian v. Wells... |
Nov. 8, 2014
Oct. 15, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$24,000,000
|
$24,000,000
|
Cathy A. Bencivengo | Todd Schueneman, et al. v. ... |
Jul. 31, 2020
Jun. 12, 2020 |
|
Securities
Securities Exchange Act
Verdict:
$1,800,000
|
$1,800,000
|
John W. Holcomb | William Likas, individually... |
Dec. 9, 2022
Mar. 14, 2022 |
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Brandi Rose Stahl v. Lincol... |
Mar. 15, 2019
Jan. 22, 2019 |
|
Securities
Securities Exchange Act
Verdict:
$33,000,000
|
$33,000,000
|
Haywood S. Gilliam Jr. | Greg Fleming, individually ... |
Jun. 24, 2022
Mar. 31, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Virginia A. Phillips | Gilberto Ferreira, individu... |
Oct. 7, 2022
Jul. 22, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$192,768
|
$192,768
|
Mark C. Scarsi | Securities and Exchange Com... |
Jan. 29, 2021
Nov. 24, 2020 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Louise Leon v. Dale William... |
Jan. 19, 2013
Dec. 21, 2012 |
|
|
Securities
Commodities
Verdict:
$65,000,000
|
$65,000,000
|
Michael M. Anello | Lou Baker, individually and... |
Apr. 24, 2020
Feb. 18, 2020 |
|
Securities
|
Expungement | Barbara M. Zak | Bonnie L. Hester (IRA), Jam... |
Mar. 1, 2019
Dec. 17, 2018 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Bart Sullivan Inc., Bart Su... |
Mar. 22, 2014
Mar. 4, 2014 |
|
|
Securities
Expungement |
Expungement | Elliott D. Finkel | Duncan Earl Rolph v. City N... |
May 3, 2019
Mar. 6, 2019 |
|
Securities
Expungement |
Expungement | Jimmy J. Suh v. Merrill Lyn... |
May 31, 2019
Apr. 17, 2019 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
David Parri v. Wells Fargo ... |
Jan. 15, 2011
Dec. 15, 2010 |
|
|
Securities
Securities Fraud |
Dismissal | Lucy H. Koh | Roger A. Ikeda, Individuall... |
Feb. 4, 2022
May 6, 2021 |
|
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | New York Hotel Trades Counc... |
Oct. 4, 2019
Aug. 12, 2019 |
|
Securities
Securities Exchange Act |
Dismissal | Edward M. Chen | Danielle Carr, individually... |
Dec. 23, 2022
Oct. 8, 2021 |