56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Barnard Lewis Family Trust ... |
Jun. 30, 2012
May 29, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$13,713
|
$13,713
|
Elizabeth Bondoc v. Wachovi... |
Jan. 5, 2008
Nov. 12, 2007 |
|
|
Securities
Breach of Contract
Verdict:
$40,890
|
$40,890
|
KBS Capital Markets Group L... |
Apr. 15, 2017
Mar. 8, 2017 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Ikho Kang, Unsoon K. Kang v... |
Dec. 6, 2008
Oct. 17, 2008 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Clare Rose Living Trust, Da... |
Mar. 28, 2015
Feb. 20, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
Roberta Noel Britt, Roberta... |
Mar. 28, 2015
Feb. 25, 2015 |
|
|
Securities
Breach of Contract
Verdict:
$120,362
|
$120,362
|
Morgan Stanley Smith Barney... |
Sep. 24, 2011
May 3, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$193,163
|
$193,163
|
Michael Armstrong, Michael ... |
Sep. 24, 2011
Jun. 22, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$276,590
|
$276,590
|
Banc of America Investment ... |
Sep. 24, 2011
Jun. 24, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,159,000
|
$1,159,000
|
Aaron Fenton | Confidential |
Aug. 17, 1996
Jun. 28, 1996 |
|
Securities
Securities Fraud
Verdict:
$650,000
|
$650,000
|
City of Marysville General ... |
Dec. 22, 2012
Nov. 2, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
In Re: Wells Fargo Mortgage... |
Sep. 10, 2011
Apr. 22, 2010 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Melchor Gragirena, Karen Gr... |
Dec. 22, 2012
Nov. 19, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Richard A. Orkin, individua... |
Sep. 24, 2011
Jul. 16, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
Metal Finishing Association... |
Sep. 17, 2011
Jun. 9, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Gene Gasselle v. Merrill Ly... |
May 8, 2010
Apr. 9, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Andrew J. Honzel, Beverly J... |
May 8, 2010
Apr. 4, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Mid Coast Builders Supply I... |
May 8, 2010
Apr. 16, 2010 |
|
|
Securities
Negligence
Verdict:
$36,817,300
|
$36,817,300
|
Linda J. Beeson, et al. v. ... |
Apr. 11, 2015
Dec. 12, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$20,000
|
$20,000
|
Richard Watts, Sally W. Wat... |
Sep. 17, 2011
Jun. 17, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$476,583
|
$476,583
|
Thomas J. Hewkin, Kathy S. ... |
May 2, 2015
Mar. 19, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Roberta Lee Franklin, indiv... |
May 2, 2015
Mar. 30, 2015 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Expungement |
John A. Abom, Carole M. Abo... |
Dec. 29, 2012
Nov. 21, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$5,979
|
$5,979
|
Ishii Family Trust dated 12... |
May 2, 2015
Apr. 8, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In Re Vical Incorporated Se... |
May 9, 2015
Mar. 9, 2015 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Randall Larry Krenzin v. We... |
May 2, 2015
Mar. 27, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Robert C. Kraynak, Robert C... |
May 2, 2015
Mar. 24, 2015 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Mixed Decision |
Reuben Vollmer v. Genesis C... |
May 2, 2015
Mar. 19, 2015 |
|
|
Securities
Breach of Duty
Verdict:
$1,545,000
|
$1,545,000
|
First AFG Financial v. Prio... |
May 15, 2010
Jul. 8, 2009 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Arthur Young Cooper, David ... |
May 2, 2015
Mar. 27, 2015 |