56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$150,000
|
$150,000
|
Confidential |
Jan. 1, 2001
Dec. 15, 2000 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Wells Fargo Investments, LL... |
Oct. 28, 2006
Apr. 21, 2006 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Permanent Injunction |
Securities and Exchange Com... |
Dec. 19, 2015
Nov. 3, 2015 |
|
|
Securities
Stocks
Verdict:
$10,000,000
|
$10,000,000
|
In Re Coventry Health Care ... |
Aug. 17, 2013
Jul. 15, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Liability |
Securities and Exchange Com... |
May 29, 2010
Apr. 23, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
ESG Capital Partners LP a D... |
Jul. 13, 2013
Jun. 26, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
United Micronesia Developme... |
Jul. 13, 2013
Jun. 26, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$619,083
|
$619,083
|
Pooroushasb Parineh and Par... |
Mar. 3, 2012
Feb. 9, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
$57,000,000 (as of May 3, 2010) |
In re Sequenom, Inc. Securi... |
Sep. 4, 2010
Aug. 27, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$26,050
|
$26,050
|
U.S. Bancorp Investments In... |
Oct. 13, 2012
Sep. 11, 2012 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Brent R. Allan, Deborah B. ... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Janelle Hansen, Janelle Han... |
Aug. 16, 2014
Jul. 22, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$5,000 (against Wells Fargo) |
Walter Cole and Antoinette ... |
May 29, 2010
May 6, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Thomas A. Seaman, in his ca... |
Feb. 14, 2015
Apr. 28, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Jamal Abdul-Kabir, Joyce L.... |
Oct. 20, 2012
Sep. 25, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Nathaniel L. Anderson, et a... |
Sep. 7, 2013
Aug. 23, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
$2,125,000
|
$2,125,000
|
James Rose v. Deer Consumer... |
Aug. 24, 2013
Aug. 9, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Norma C. Worden v. Merrill ... |
Jul. 29, 2006
Feb. 3, 2006 |
|
|
Securities
Fraud
Verdict:
$235,000,000
|
$235,000,000
|
In re Charles Schwab Corp. ... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Scott B. Teter v. UBS Finan... |
Mar. 16, 2013
Mar. 4, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$550,505
|
$550,505
|
The Selan Family Trust dd A... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bank of Nevada v. UBS Finan... |
Mar. 16, 2013
Mar. 5, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$15,250,000
|
$15,250,000
|
Thomas McKenna, individuall... |
Jun. 29, 2013
May 23, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ellen Gache and EBG Investm... |
Jul. 13, 2013
Jun. 27, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Michael Pope, Maxine O. Pop... |
Jun. 29, 2013
Jun. 13, 2013 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Armando Palomino v. Wells F... |
May 31, 2014
Apr. 23, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondents |
UBS Financial Services Inc.... |
Jun. 29, 2013
Jun. 11, 2013 |
|
|
Securities
Fraud
Verdict:
$249,071
|
$249,071
|
Kent E. Wilson, Michael D. ... |
Jul. 8, 2006
May 10, 2006 |
|
|
Securities
Violation of the Securities Act
Verdict:
$4,000,000
|
$4,000,000
|
In re Constellation Energy ... |
Jun. 29, 2013
May 8, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$118,900,000
|
$118,900,000
|
Securities And Exchange Com... |
Feb. 5, 2011
Jan. 11, 2011 |