56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Susan Frances Bostian v. Me... |
Nov. 18, 2006
Jan. 25, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Phyllis Mortimer v. Centaur... |
Jun. 17, 2006
Feb. 17, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$4,570,520
|
$4,570,520
|
Guadalupe Sandoval, Javier ... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
James Eischen, Nada Eischen... |
Sep. 24, 2011
Jul. 5, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Oracle Corporation Se... |
Jan. 23, 2010
Jun. 16, 2009 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Pete J. Manger, On Behalf o... |
Jun. 3, 2017
May 9, 2017 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement Denied |
Randall Larry Krenzin v. Me... |
Jun. 27, 2015
Mar. 4, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Jun. 27, 2015
Mar. 6, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Letitia McKee Cooper, Coope... |
Feb. 4, 2017
Nov. 15, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$10,871
|
$10,871
|
Alice M. Potter v. Ameritas... |
Jun. 9, 2012
May 11, 2012 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
John Phillip Toman Jr. v. M... |
Jul. 6, 2013
Jun. 14, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$160,500,000
|
$160,500,000
|
In re Broadcom Corp. Class ... |
Feb. 6, 2010
Dec. 29, 2009 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Countrywide Financial... |
Sep. 14, 2013
Aug. 26, 2013 |
|
|
Securities
NASD
Verdict:
$9,500
|
$9,500
|
Wells Fargo Investments, LL... |
Dec. 2, 2006
May 1, 2006 |
|
|
Securities
Employment
Verdict:
$222,750
|
$222,750
|
Joseph Alan Seidler v. Kevi... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
NASD
Verdict:
$339,974
|
$339,974
|
Dolores White, individually... |
Dec. 30, 2006
Apr. 13, 2006 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
David Shamsian, Roya Shamsi... |
Feb. 4, 2017
Nov. 3, 2016 |
|
|
Securities
Stocks
Verdict:
$1,750,000
|
$1,750,000
|
Securities and Exchange Com... |
Dec. 8, 2012
Oct. 26, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Paul Lemon v. Jeffrey James... |
Aug. 9, 2014
Jul. 9, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Jay Knapp, Reva Knapp, The ... |
Oct. 15, 2011
Sep. 19, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$17,212
|
$17,212
|
Stephen O'Laughlin v. E-Tra... |
Aug. 9, 2014
Jul. 10, 2014 |
|
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Denial |
Bobby Karim Panahi v. UBS F... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Corinne DeGiorgio Fond v. M... |
Jun. 27, 2015
Apr. 27, 2015 |
|
|
Securities
Misrepresentation
Verdict:
$120,000
|
$120,000
|
Robert M. Levy | Confidential |
May 4, 1996
Mar. 21, 1996 |
|
Securities
Securities Fraud
Verdict:
$100,000
|
$100,000
|
Maurice Fakhoury, Martha Fa... |
Feb. 4, 2017
Nov. 21, 2016 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In re Velti Securities Liti... |
Nov. 14, 2015
Oct. 1, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Sefferino Guerrera, Sefferi... |
Feb. 11, 2017
Nov. 16, 2016 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
D.L. Gai, Trustee of the Ga... |
Dec. 21, 2013
Nov. 20, 2013 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
The Donald J. Adams Trust v... |
May 23, 2015
Mar. 13, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$1,523,840
|
$1,523,840
|
Securities and Exchange Com... |
Apr. 23, 2011
Aug. 17, 2010 |