56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Arnold Weinberg v. Alan D. ... |
Apr. 28, 2012
Mar. 12, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Standard Credit Securities ... |
Mar. 8, 2014
Feb. 12, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
In re Hot Topic Inc. Securi... |
Jan. 3, 2015
May 2, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$21,200,000
|
$21,200,000
|
Plumbers' Union Local No. 1... |
Feb. 8, 2014
Dec. 19, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$208,000
|
$208,000
|
The Rhoda Seidler Revocable... |
Feb. 5, 2011
Jan. 4, 2011 |
|
|
Securities
Breach of Promissory Note
Verdict:
$75,000
|
$75,000
|
Ameriprise Financial Servic... |
Apr. 6, 2013
Mar. 18, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Thomas Edwin Logan v. Linco... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
$22,482,300
|
$22,482,300
|
Securities and Exchange Com... |
May 31, 2014
May 15, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$304,639
|
$304,639
|
Ronald S. Beard and Karin G... |
Jan. 15, 2011
Dec. 13, 2010 |
|
|
Securities
Unfair Business Practices
Verdict:
-$1
|
-$1
Equitable Agreement |
James W. Edwards derivative... |
Sep. 6, 2014
May 19, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. a... |
Mar. 16, 2013
Feb. 26, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,000
|
$80,000
|
Securities and Exchange Com... |
Nov. 20, 2010
Oct. 22, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$1,165,000
|
$1,165,000
|
Albertus Niehuis Jr., Andre... |
May 24, 2014
Apr. 30, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$991,728
|
$991,728
|
Wells Fargo Investments LLC... |
Jun. 22, 2013
Mar. 19, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,403,500
|
$1,403,500
|
Karen L. Labuda, Sherry A. ... |
Apr. 14, 2012
Mar. 19, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$218,881.86 attorney fees and costs awarded to respondent Kristian Colvin |
Charles Schwab & Co. Inc. v... |
Nov. 20, 2010
Oct. 20, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
$4,800,000
|
$4,800,000
|
In Re American Apparel Inc.... |
May 31, 2014
Apr. 16, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Denial |
Merrill Lynch, Pierce, Fenn... |
Apr. 14, 2012
Mar. 16, 2012 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
$411,624 to Respondent |
Charles Tom Lawson v. Morga... |
May 17, 2014
Apr. 21, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$619,083
|
$619,083
|
Pooroushasb Parineh and Par... |
Mar. 3, 2012
Feb. 9, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
James Elist, Emil Halimi, G... |
Nov. 20, 2010
Oct. 21, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Thomas A. Seaman, in his ca... |
Feb. 14, 2015
Apr. 28, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$191,694
|
$191,694
|
Betsy Van Hees v. Cowen & C... |
Oct. 30, 2010
Oct. 7, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bank of Nevada v. UBS Finan... |
Mar. 16, 2013
Mar. 5, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$477,728
|
$477,728
|
RBC Wealth Management, a di... |
Jul. 2, 2011
May 9, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Dan Katz, Peter Van Nuis an... |
Dec. 31, 2011
Dec. 6, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Paul J. McDonough, Ellen Mc... |
Apr. 7, 2012
Mar. 12, 2012 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Brent R. Allan, Deborah B. ... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$13,500
|
$13,500
|
Ellen Baron v. Banc of Amer... |
Feb. 20, 2010
Jan. 14, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
RESPONDENTS |
Howard Shannon | Leilah D. Schou v. RBC Dain... |
Apr. 22, 2006
Dec. 22, 2005 |