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56041 Rulings

Topic Case Name Published / Result

Securities

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