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56041 Rulings

Topic Case Name Published / Result

Securities

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