56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Michael L. Kennedy 1998 Tru... |
May 28, 2016
Mar. 16, 2016 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Fred Yow, Helen C. Yow and ... |
Apr. 14, 2007
Jan. 19, 2007 |
|
|
Securities
Commodities
Verdict:
$37,000,000
|
$37,000,000
|
In re Tronox Inc. Securitie... |
Oct. 20, 2012
Aug. 29, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Pauline W. Allen, individua... |
Jul. 4, 2014
Jun. 16, 2014 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Equitable Settlement |
Amylin Pharmaceuticals Inc.... |
Dec. 3, 2011
Nov. 9, 2011 |
|
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Respondent |
Aimai Knypstra, Ravi Knypst... |
May 10, 2014
Mar. 4, 2014 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Injunction Denied |
Dixon v. Cost Plus Inc., et... |
Aug. 18, 2012
Jun. 27, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Bricklayers and Trowel Trad... |
Feb. 11, 2012
Jan. 13, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$386,144
|
$386,144
|
Diane Ford, Martha Nelson, ... |
Jun. 4, 2016
Feb. 9, 2016 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Harvey Jasny v. Morgan Stan... |
Apr. 28, 2007
Jan. 24, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Flora J. Tisherman IRA, San... |
Feb. 16, 2013
Jan. 31, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$210,532
|
$210,532
|
Confidential |
Apr. 14, 2007
Jan. 17, 2007 |
|
|
Securities
Securities Fraud
Verdict:
$1,050,000
|
$1,050,000
|
County of Alameda, City of ... |
Feb. 18, 2012
Jan. 6, 2012 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Ronald Cey, Frances Cey, Gi... |
Jun. 11, 2016
Apr. 27, 2016 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Randel Kendall, individuall... |
Feb. 20, 2010
Jan. 15, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Robert Blakeman and Anne Bl... |
Jul. 26, 2014
Jun. 27, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Lyle W. Swenson Jr., Michel... |
Feb. 25, 2012
Jan. 20, 2012 |
|
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
William Fieldman | Confidential |
Dec. 14, 1996
Nov. 1, 1996 |
|
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
Denial |
Alliance Semiconductor Corp... |
Nov. 26, 2011
Nov. 5, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$10,000
|
$10,000
|
David C. Swedelson and Sand... |
Nov. 12, 2011
Oct. 17, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Isaac Applbaum, individuall... |
Dec. 25, 2009
Nov. 10, 2009 |
|
|
Securities
Fraud
Verdict:
$512,000
|
$512,000
|
Leonard Becker and Nancy Be... |
May 19, 2007
Jan. 17, 2007 |
|
|
Securities
Breach of Promissory Note
Verdict:
$355,782
|
$355,782
|
Morgan Stanley Smith Barney... |
Apr. 5, 2014
Mar. 14, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
-$1
|
-$1
Equitable Settlement |
Wells Fargo Investments LLC... |
Feb. 4, 2012
Jan. 6, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$500,000
|
$500,000
|
Securities and Exchange Com... |
Mar. 29, 2014
Mar. 10, 2014 |
|
|
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
Derivative Suit
Verdict:
-$1
|
-$1
Equitable Agreement |
In re Sequenom, Inc. Deriva... |
Sep. 25, 2010
Jul. 26, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Michael Szymanski and Beth ... |
Apr. 14, 2007
Jan. 19, 2007 |