56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$2,900,000
|
$2,900,000
|
Cha, et al. v. E1 Asset Man... |
Sep. 5, 2009
May 29, 2009 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Wells Fargo Investments, LL... |
Oct. 28, 2006
Apr. 21, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Norma C. Worden v. Merrill ... |
Jul. 29, 2006
Feb. 3, 2006 |
|
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Dismissal |
Stephanie Mallen v. Alphate... |
Aug. 31, 2013
Mar. 28, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal; Equitable Agreement |
Patrick J. Rohan Trust, et ... |
Feb. 5, 2011
Jan. 7, 2011 |
|
|
Securities
NASD
Verdict:
$76,600
|
$76,600
|
James S. Dickerson on behal... |
Oct. 28, 2006
Jan. 26, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$346,241
|
$346,241
|
Richard Justin Lumelleau v.... |
Aug. 17, 2013
Aug. 2, 2013 |
|
|
Securities
Fraud
Verdict:
$160,000,000
|
$160,000,000
|
In re Brocade Securities Li... |
Jul. 26, 2008
Jun. 2, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$3,487,240
|
$3,487,240
|
Diane Truly, individually a... |
Feb. 3, 2007
Nov. 28, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Juliet Baruch v. Citigroup ... |
Jan. 8, 2011
Dec. 9, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Netflix, Inc. Securit... |
Sep. 7, 2013
Aug. 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$150,000
|
$150,000
|
Confidential |
Jan. 1, 2001
Dec. 15, 2000 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$89,389 (attorneys fees) |
Kent E. Wilson, D.D.S., et ... |
Jun. 21, 2008
May 7, 2008 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Defense |
Jimmy D. Hair, Karen E. Hai... |
Feb. 5, 2011
Jan. 7, 2011 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Frank Charles Miller v. Wel... |
Sep. 7, 2013
Aug. 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$3,350,000
|
$3,350,000
|
In re Neopharm Inc. Securit... |
Feb. 5, 2011
Jan. 13, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$35,043
|
$35,043
|
Hildur M. French v. The Sec... |
Mar. 19, 2011
Jan. 27, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$477,867
|
$477,867
|
Alison Gordon, as Successor... |
Jan. 29, 2011
Dec. 31, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$208,000
|
$208,000
|
The Rhoda Seidler Revocable... |
Feb. 5, 2011
Jan. 4, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$119,990,000
|
$119,990,000
|
Real Estate Capital Managem... |
Jun. 14, 2008
Apr. 14, 2008 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Expungement |
Richard W. Barrett v. J.P M... |
Oct. 20, 2012
Sep. 24, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Karl Townsend, Karen Fann T... |
Oct. 20, 2012
Sep. 25, 2012 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$4,354,790
|
$4,354,790
|
Wedbush Morgan Securities I... |
Nov. 14, 2009
Jul. 20, 2009 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Denial |
Cynthia L. Stirling, Cynthi... |
Dec. 17, 2011
Nov. 23, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Oppenheimer & Co. v. Citigr... |
Feb. 5, 2011
Jan. 4, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Injunction |
Securities and Exchange Com... |
Apr. 9, 2016
Mar. 1, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$47,796
|
$47,796
|
Peter E. Williams III v. Go... |
Jan. 29, 2011
Dec. 29, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$145,000,000
|
$145,000,000
|
In re Apollo Group Inc. Sec... |
Jun. 9, 2012
Apr. 25, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Equitable Settlement |
Wells Fargo Advisors Financ... |
Jan. 29, 2011
Dec. 29, 2010 |