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56041 Rulings

Topic Case Name Published / Result

Securities

Securities
Securities Fraud
Verdict: -$1
Securities and Exchange Com... May 17, 2014
    Oct. 1, 2013
Securities
Breach of Fiduciary Duty
Verdict: $88,470
Victor Chang, individually ... Oct. 31, 2009
    Sep. 10, 2009
Securities
Breach of Promissory Note
Verdict: $713,230
Wells Fargo Advisors, LLC, ... Jun. 1, 2013
    May 17, 2013
Securities
Securities Fraud
Verdict: $147,000,000
Securities and Exchange Com... Mar. 26, 2016
    Feb. 23, 2016
Securities
Securities Fraud
Verdict: $105,000,000
In Re: Medical Capital Secu... Feb. 15, 2014
    Apr. 30, 2013
Securities
Commodities
Verdict: -$1
Joel Krieger v. Atheros Com... Jul. 7, 2012
    May 29, 2012
Securities
Breach of Contract
Verdict: $346,241
Richard Justin Lumelleau v.... Aug. 17, 2013
    Aug. 2, 2013
Securities
Negligence
Verdict: -$1
Kline Enterprises Inc. v. S... Feb. 4, 2012
    Jan. 6, 2012
Securities
Breach of Contract
Verdict: $17,384
Harvest & Rowe Inc. Retirem... Jun. 1, 2013
    May 17, 2013
Securities
Breach of Promissory Note
Verdict: -$1
Wells Fargo Advisors LLC v.... Mar. 29, 2014
    Feb. 24, 2014
Securities
Professional Malpractice
Verdict: -$1
Norma J. Byer v. Morgan Sta... Apr. 20, 2013
    Apr. 3, 2013
Securities
Violations of Exchange Act
Verdict: $500,000,000
Maine State Retirement Syst... May 18, 2013
    Apr. 17, 2013
Securities
Breach of Fiduciary Duty
Verdict: -$1
Hung Hoang v. TD Ameritrade... Nov. 21, 2009
    Jul. 20, 2009
Securities
Foreign Corrupt Practices Act
Verdict: $55,000,000
In the Matter of Bio-Rad La... Nov. 29, 2014
    Nov. 3, 2014
Securities
Breach of Contract
Verdict: -$1
Mari F. Palash and Andrea L... Mar. 31, 2007
    Feb. 22, 2007
Securities
Violations of Exchange Act
Verdict: -$1
Michael Fairservice, Locals... May 11, 2013
    Jun. 22, 2012
Securities
Breach of Fiduciary Duty
Verdict: $271,250
Dennis M. Nigro, The Dennis... Mar. 31, 2007
    Feb. 16, 2007
Securities
Breach of Fiduciary Duty
Verdict: $1,500,000
Mathew Zuckerman, Intermoun... Sep. 3, 2011
    Mar. 30, 2011
Securities
Breach of Contract
Verdict: -$1
Eric Allen Sigdestad, Shane... May 25, 2013
    May 13, 2013
Securities
Securities Fraud
Verdict: $2,800,000
Securities and Exchange Com... Mar. 19, 2016
    Feb. 23, 2016
Securities
Fraud
Verdict: $3,150,680
Richman Bay v. Roger A. Fea... Jan. 9, 2010
    Sep. 1, 2009
Securities
Securities Fraud
Verdict: -$1
Massachusetts Mutual Life I... Sep. 1, 2012
    Apr. 16, 2012
Securities
Breach of Fiduciary Duty
Verdict: -$1
Robert Blakeman and Anne Bl... Jul. 26, 2014
    Jun. 27, 2014
Securities
Fraud
Verdict: -$1
Herbert R. Huber and Kathry... May 11, 2013
    Apr. 24, 2013
Securities
Breach of Fiduciary Duty
Verdict: $7,250,000
West Palm Beach Police Pens... Mar. 31, 2012
    Jan. 13, 2012
Securities
Breach of Fiduciary Duty
Verdict: -$1
Eric T. Besag, Eric T. Besa... Feb. 19, 2011
    Jan. 6, 2011
Securities
Breach of Fiduciary Duty
Verdict: $1,105,000
Douglas Beal, Marjorie Gill... Nov. 12, 2016
    Oct. 4, 2016
Securities
Suitability
Verdict: $6,121
Michael Bodnar v. Sagepoint... Nov. 15, 2014
    Oct. 20, 2014
Securities
Breach of Promissory Note
Verdict: -$1
Piper Jaffray & Co. v. Lawr... Mar. 31, 2007
    Nov. 3, 2006
Securities
Breach of Fiduciary Duty
Verdict: -$1
Brown Family Trust v. Wells... May 28, 2016
    Feb. 8, 2016