56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
NASD
Verdict:
$194,015
|
$194,015
|
Deanna Johnson, Clint A. Jo... |
Jun. 16, 2007
Jan. 2, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Michael L. Kennedy 1998 Tru... |
May 28, 2016
Mar. 16, 2016 |
|
|
Securities
Fraud
Verdict:
$512,000
|
$512,000
|
Leonard Becker and Nancy Be... |
May 19, 2007
Jan. 17, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kathleen Chen v. Morgan Sta... |
Mar. 31, 2007
Jan. 30, 2007 |
|
|
Securities
Breach of Contract
Verdict:
$1,500,000
|
$1,500,000
|
Bruce Wiegand v. Wachovia S... |
Apr. 14, 2007
Dec. 28, 2006 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Michael Szymanski and Beth ... |
Apr. 14, 2007
Jan. 19, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
Young Soo So v. Shin Han Gl... |
Mar. 31, 2007
Feb. 6, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$271,250
|
$271,250
|
Dennis M. Nigro, The Dennis... |
Mar. 31, 2007
Feb. 16, 2007 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mari F. Palash and Andrea L... |
Mar. 31, 2007
Feb. 22, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Alliance Semiconductor Corp... |
Nov. 26, 2011
Nov. 5, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Glenna L. Maguire, individu... |
Nov. 19, 2011
Nov. 2, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Jeffrey Harris and Mary And... |
Mar. 31, 2007
Feb. 2, 2007 |
|
|
Securities
Negligence
Verdict:
$65,000,000
|
$65,000,000
|
In re: AXA Rosenberg Invest... |
Jun. 2, 2012
Nov. 2, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiff |
U.S. Securities and Exchang... |
Sep. 7, 2013
Aug. 16, 2013 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Equitable Settlement |
Amylin Pharmaceuticals Inc.... |
Dec. 3, 2011
Nov. 9, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Madhok Family Trust dated 1... |
Dec. 3, 2011
Nov. 10, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$10,000
|
$10,000
|
David C. Swedelson and Sand... |
Nov. 12, 2011
Oct. 17, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Keith M. Steel, Anpei Lin, ... |
Feb. 2, 2013
Jan. 16, 2013 |
|
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Equitable Agreement |
In re Sequenom, Inc. Deriva... |
Sep. 25, 2010
Jul. 26, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Rackable Systems Inc.... |
Sep. 25, 2010
Sep. 8, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$17,361
|
$17,361
|
Wells Fargo Advisors LLC fo... |
Sep. 18, 2010
Aug. 22, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$1,012,000 (plus interest) |
Nickie Lee Silk as trustee ... |
Sep. 18, 2010
Aug. 10, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$202,300 (plus interest) |
Barbara J. Wammer, individu... |
Sep. 11, 2010
Aug. 12, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents, Counter-Respondents |
Rina Schwarz, individually,... |
Sep. 4, 2010
Aug. 12, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$338,646 (plus interest) |
Lim Cheng Low, Lee Fang Ng ... |
Sep. 4, 2010
Aug. 12, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$253,843
|
$253,843
|
Amnon Kawa, Amva Holdings, ... |
Sep. 4, 2010
Aug. 4, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Alfred L. Davenport Jr., in... |
Sep. 4, 2010
Aug. 7, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Steven Steinberg v. UBS Fin... |
Sep. 11, 2010
Aug. 18, 2010 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Cyrus Tabaz v. J.P. Morgan ... |
Nov. 28, 2015
Nov. 3, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$1,400,000,000
|
$1,400,000,000
|
People of the State of Cali... |
Apr. 3, 2010
Nov. 17, 2009 |