56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
|
Dismissal | Cormac J. Carney | In re Yogaworks Inc., Secur... |
Jun. 5, 2020
Apr. 23, 2020 |
|
Securities
Commodities |
Dismissal | M. James Lorenz | Hodl Law PLLC v. Securities... |
Nov. 10, 2023
Jul. 28, 2023 |
|
Securities
Expungement |
Expungement | Milton N. Gross | Mark Robert Fasano v. UBS F... |
May 10, 2019
Mar. 21, 2019 |
|
Securities
Securities Fraud |
Dismissal | William H. Orrick III | Paul Hessong, on behalf of ... |
Feb. 24, 2023
Oct. 12, 2021 |
|
Securities
Securities Exchange Act |
Defense | Philip S. Gutierrez | Terrence Peters, Individua... |
Dec. 9, 2022
Jul. 13, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$19,000,000
|
$19,000,000
|
Dale S. Fischer | Vancouver Alumni Asset Hold... |
Jun. 19, 2020
Apr. 29, 2020 |
|
Securities
Expungement |
Expungement Denied | Arocles Aguilar | Bradley Todd Glassman v. Pr... |
May 3, 2019
Mar. 7, 2019 |
|
Securities
Expungement |
Claimant | Troy Nicholas Tremblay v. C... |
Jun. 19, 2020
Mar. 26, 2020 |
|
|
Securities
Expungement |
Expungement | Barbara M. Zak | Antoine Nabih Souma v. UBS ... |
Apr. 19, 2019
Feb. 4, 2019 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc., ... |
Dec. 22, 2012
Nov. 16, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$129,600,000
|
$129,600,000
|
National Credit Union Admin... |
Oct. 31, 2015
Sep. 15, 2015 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Lacey Odis Patrick Corbett ... |
Sep. 29, 2012
Aug. 30, 2012 |
|
|
Securities
Breach of Contract |
Respondents | R.S.S. McKosky, Tatyana McK... |
Jul. 31, 2020
Jun. 10, 2020 |
|
|
Securities
Expungement |
Expungement | Elliott D. Finkel | Duncan Earl Rolph v. City N... |
May 3, 2019
Mar. 6, 2019 |
|
Securities
Securities Fraud |
Respondent | Mary Millman v. Ankit Sahu,... |
Apr. 24, 2020
Feb. 13, 2020 |
|
|
Securities
Expungement |
Claimant | Jonathan Beukelman, Mark Ge... |
Jan. 10, 2020
Oct. 25, 2019 |
|
|
Securities
Securities Exchange Act
Verdict:
$98,000,000
|
$98,000,000
|
In Re Mattel Inc. Securitie... |
Jul. 8, 2022
May 18, 2022 |
|
|
Securities
Securities Exchange Act
Verdict:
$900,000
|
$900,000
|
Gonzalo P. Curiel | Bar Mandalevy, individually... |
Mar. 11, 2022
Jan. 31, 2022 |
|
Securities
Securities Exchange Act |
Defense | Beth L. Freeman | Neil Costanzo, individually... |
Dec. 23, 2022
Dec. 14, 2021 |
|
Securities
Expungement |
Claimant | Steven Todd Jacques v. Voya... |
Aug. 14, 2020
Jun. 24, 2020 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent |
Christopher A. Sanguigni v.... |
Nov. 15, 2014
Oct. 22, 2014 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
The Heater Family Trust v. ... |
Jul. 14, 2012
Jun. 6, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$49,965
|
$49,965
|
Jesus G. Bernal | Securities and Exchange Com... |
Oct. 30, 2020
Sep. 3, 2020 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Frank Meyers, individually;... |
Jan. 11, 2019
Oct. 4, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$1,375,000
|
$1,375,000
|
Beth L. Freeman | In re: Dropbox Inc. Securit... |
Mar. 3, 2023
Dec. 8, 2021 |
|
Securities
Expungement |
Expungement | Kent Douglas Kuhlmann v. LP... |
Mar. 20, 2020
Nov. 26, 2019 |
|
|
Securities
Expungement |
Expungement | Peter Ivan Michael Shusterm... |
Jun. 21, 2019
May 6, 2019 |
|
|
Securities
Securities Fraud |
Respondent | Schneider Family Limited Pa... |
Jun. 28, 2019
May 2, 2019 |
|
|
Securities
Expungement |
Claimant | David Anthony Pickler v. UB... |
Feb. 14, 2020
Dec. 6, 2019 |
|
|
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 |