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56041 Rulings

Topic Case Name Published / Result

Securities

Securities
NASD
Verdict: $194,015
Deanna Johnson, Clint A. Jo... Jun. 16, 2007
    Jan. 2, 2007
Securities
Breach of Fiduciary Duty
Verdict: -$1
Michael L. Kennedy 1998 Tru... May 28, 2016
    Mar. 16, 2016
Securities
Fraud
Verdict: $512,000
Leonard Becker and Nancy Be... May 19, 2007
    Jan. 17, 2007
Securities
Breach of Fiduciary Duty
Verdict: -$1
Kathleen Chen v. Morgan Sta... Mar. 31, 2007
    Jan. 30, 2007
Securities
Breach of Contract
Verdict: $1,500,000
Bruce Wiegand v. Wachovia S... Apr. 14, 2007
    Dec. 28, 2006
Securities
Fraud
Verdict: -$1
Michael Szymanski and Beth ... Apr. 14, 2007
    Jan. 19, 2007
Securities
Breach of Fiduciary Duty
Verdict: $100,000
Young Soo So v. Shin Han Gl... Mar. 31, 2007
    Feb. 6, 2007
Securities
Breach of Fiduciary Duty
Verdict: $271,250
Dennis M. Nigro, The Dennis... Mar. 31, 2007
    Feb. 16, 2007
Securities
Breach of Contract
Verdict: -$1
Mari F. Palash and Andrea L... Mar. 31, 2007
    Feb. 22, 2007
Securities
Breach of Fiduciary Duty
Verdict: -$1
Alliance Semiconductor Corp... Nov. 26, 2011
    Nov. 5, 2011
Securities
Breach of Fiduciary Duty
Verdict: -$1
Glenna L. Maguire, individu... Nov. 19, 2011
    Nov. 2, 2011
Securities
Fraud
Verdict: -$1
Jeffrey Harris and Mary And... Mar. 31, 2007
    Feb. 2, 2007
Securities
Negligence
Verdict: $65,000,000
In re: AXA Rosenberg Invest... Jun. 2, 2012
    Nov. 2, 2011
Securities
Securities Fraud
Verdict: -$1
U.S. Securities and Exchang... Sep. 7, 2013
    Aug. 16, 2013
Securities
Commodities
Verdict: -$1
Amylin Pharmaceuticals Inc.... Dec. 3, 2011
    Nov. 9, 2011
Securities
Negligence
Verdict: -$1
Madhok Family Trust dated 1... Dec. 3, 2011
    Nov. 10, 2011
Securities
Breach of Fiduciary Duty
Verdict: $10,000
David C. Swedelson and Sand... Nov. 12, 2011
    Oct. 17, 2011
Securities
Negligence
Verdict: -$1
Keith M. Steel, Anpei Lin, ... Feb. 2, 2013
    Jan. 16, 2013
Securities
Derivative Suit
Verdict: -$1
In re Sequenom, Inc. Deriva... Sep. 25, 2010
    Jul. 26, 2010
Securities
Fraud
Verdict: -$1
In re Rackable Systems Inc.... Sep. 25, 2010
    Sep. 8, 2010
Securities
Breach of Fiduciary Duty
Verdict: $17,361
Wells Fargo Advisors LLC fo... Sep. 18, 2010
    Aug. 22, 2010
Securities
Breach of Fiduciary Duty
Verdict: -$1
Nickie Lee Silk as trustee ... Sep. 18, 2010
    Aug. 10, 2010
Securities
Breach of Fiduciary Duty
Verdict: -$1
Barbara J. Wammer, individu... Sep. 11, 2010
    Aug. 12, 2010
Securities
Breach of Fiduciary Duty
Verdict: -$1
Rina Schwarz, individually,... Sep. 4, 2010
    Aug. 12, 2010
Securities
Breach of Fiduciary Duty
Verdict: -$1
Lim Cheng Low, Lee Fang Ng ... Sep. 4, 2010
    Aug. 12, 2010
Securities
Breach of Fiduciary Duty
Verdict: $253,843
Amnon Kawa, Amva Holdings, ... Sep. 4, 2010
    Aug. 4, 2010
Securities
Breach of Fiduciary Duty
Verdict: -$1
Alfred L. Davenport Jr., in... Sep. 4, 2010
    Aug. 7, 2010
Securities
Breach of Fiduciary Duty
Verdict: -$1
Steven Steinberg v. UBS Fin... Sep. 11, 2010
    Aug. 18, 2010
Securities
Suitability
Verdict: -$1
Cyrus Tabaz v. J.P. Morgan ... Nov. 28, 2015
    Nov. 3, 2015
Securities
Securities Fraud
Verdict: $1,400,000,000
People of the State of Cali... Apr. 3, 2010
    Nov. 17, 2009