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56041 Rulings

Topic Case Name Published / Result

Securities

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