56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Robert D. Sussin | David Munho Choi v. LPL Fin... |
Mar. 27, 2020
Jan. 29, 2020 |
|
Securities
Securities Exchange Act
Verdict:
$1,100,000
|
$1,100,000
|
Fernando M. Olguin | Arthur Kaye IRA FCC as Cust... |
Jan. 11, 2019
Dec. 10, 2018 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Frank Meyers, individually;... |
Jan. 11, 2019
Oct. 4, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$30,000,000
|
$30,000,000
|
Jeffrey S. White | In re Wageworks Inc. Securi... |
Jul. 2, 2021
May 3, 2021 |
|
Securities
Breach of Contract
Verdict:
$385,000
|
$385,000
|
Paul E. Dahlman | Philip Harper and Amanda Ha... |
Mar. 1, 2019
Jan. 3, 2019 |
|
Securities
Securities Fraud
Verdict:
$2,819,692
|
$2,819,692
|
Jeffrey S. White | Securities and Exchange Com... |
Jun. 24, 2022
Apr. 11, 2022 |
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Donald Bradford Crane v. Ce... |
Apr. 10, 2020
Feb. 28, 2020 |
|
Securities
Breach of Contract
Verdict:
$883,334
|
$883,334
|
Jefferies LLC v. Jerald Ebe... |
Apr. 10, 2020
Feb. 20, 2020 |
|
|
Securities
Securities Fraud |
Dismissal | Lucy H. Koh | Roger A. Ikeda, Individuall... |
Feb. 4, 2022
May 6, 2021 |
|
Securities
Suitability |
Respondent | Michael Terry Nalewaja v. T... |
Apr. 10, 2020
Feb. 18, 2020 |
|
|
Securities
Securities Fraud |
DeAnnah L. Thomas, Richard ... |
Apr. 10, 2020
Feb. 20, 2020 |
||
|
Securities
Breach of Fiduciary Duty
Verdict:
$8,319,233
|
$8,319,233
|
Move Inc. v. Citigroup Glob... |
Mar. 6, 2020
May 20, 2019 |
|
|
Securities
Unfair Business Practices
Verdict:
$2,000,000
|
$2,000,000
|
Federal Trade Commission v.... |
Mar. 19, 2021
Feb. 8, 2021 |
|
|
Securities
Securities Exchange Act |
Dismissal | Jon S. Tigar | Chad C. Smith, individually... |
Mar. 19, 2021
Feb. 26, 2021 |
|
Securities
Securities Fraud
Verdict:
$5,498,941
|
$5,498,941
|
John W. Holcomb | Securities and Exchange Com... |
Jun. 18, 2021
May 20, 2021 |
|
Securities
Expungement |
Claimant | Mary M. Bush | Garret Ray Morgan v. Securi... |
Dec. 27, 2019
Oct. 9, 2019 |
|
Securities
Commodities
Verdict:
$65,000,000
|
$65,000,000
|
Michael M. Anello | Lou Baker, individually and... |
Apr. 24, 2020
Feb. 18, 2020 |
|
Securities
Expungement |
Claimant | Michael Lancaster Garcia | Mark Clifford Richmond v. L... |
Dec. 27, 2019
Oct. 11, 2019 |
|
Securities
Expungement |
Expungement Denied | Herbert A. Schwartz | Leila Suely Gough v. Wells ... |
Mar. 15, 2019
Jan. 22, 2019 |
|
Securities
Securities Exchange Act |
Dismissal | Richard Seeborg | Thomas Jedrzejczyk, et al. ... |
Dec. 23, 2022
Jul. 5, 2022 |
|
Securities
Verdict:
$50,000
|
$50,000
|
Beth L. Freeman | Securities and Exchange Com... |
Mar. 12, 2021
Feb. 11, 2021 |
|
Securities
Expungement |
Expungement | Elliott D. Finkel | Peter Edward Cunningham v. ... |
May 3, 2019
Mar. 22, 2019 |
|
Securities
Securities Fraud |
Respondent | Susan Romano | George Lawlor v. Merrill Ly... |
May 3, 2019
Mar. 21, 2019 |
|
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | Iron Workers Local 580 Join... |
Mar. 26, 2021
Mar. 2, 2021 |
|
Securities
Securities Fraud |
Dismissal | R. Gary Klausner | Edward A. Berg, individuall... |
Nov. 5, 2021
Jan. 25, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$1,800,000
|
$1,800,000
|
John W. Holcomb | William Likas, individually... |
Dec. 9, 2022
Mar. 14, 2022 |
|
Securities
Securities Fraud
Verdict:
$33,000,000
|
$33,000,000
|
S. James Otero | Securities and Exchange Com... |
Dec. 28, 2018
Aug. 2, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$614,775
|
$614,775
|
In the Matter of Floyd Mayw... |
Dec. 28, 2018
Nov. 29, 2018 |
|
|
Securities
Securities Fraud
Verdict:
$463,082
|
$463,082
|
U.S. Securities and Exchang... |
Jul. 17, 2020
Apr. 9, 2020 |
|
|
Securities
Securities Exchange Act
Verdict:
$100,000
|
$100,000
|
John F. Walter | Securities and Exchange Com... |
Apr. 5, 2019
Feb. 25, 2019 |