56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Promissory Note
Verdict:
$399,309
|
$399,309
|
Wells Fargo Advisors LLC, f... |
Nov. 17, 2012
Oct. 12, 2012 |
|
|
Securities
Commodities |
Defense | Edward M. Chen | In re Finjan Holdings Inc. ... |
Oct. 1, 2021
Sep. 13, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Haywood S. Gilliam Jr. | In Re Aqua Metals Inc. Secu... |
Mar. 25, 2022
Mar. 8, 2022 |
|
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | In re Nektar Therapeutics S... |
Jan. 22, 2021
Dec. 30, 2020 |
|
Securities
Negligence |
Expungement Denied | Joseph C. Watson | Beverly Symms, individually... |
Jun. 28, 2019
May 13, 2019 |
|
Securities
Securities Fraud
Verdict:
$542,768
|
$542,768
|
Jesus G. Bernal | Securities and Exchange Com... |
Oct. 8, 2021
Aug. 4, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Virginia A. Phillips | Gilberto Ferreira, individu... |
Oct. 7, 2022
Jul. 22, 2022 |
|
Securities
Securities Fraud
Verdict:
$18,250,000
|
$18,250,000
|
David O. Carter | In Re Merit Medical Systems... |
Jan. 21, 2022
|
|
Securities
Suitability |
Expungement | Kendall C. Reed | Jay Goldner and Denise Gold... |
Jun. 21, 2019
May 6, 2019 |
|
Securities
Securities Fraud
Verdict:
$813,808
|
$813,808
|
Philip S. Gutierrez | Securities and Exchange Com... |
Jan. 8, 2021
Nov. 19, 2020 |
|
Securities
Securities Exchange Act
Verdict:
$17,500,000
|
$17,500,000
|
Vince G. Chhabria | Paul Hayden, et al. v. Port... |
Nov. 4, 2022
Sep. 19, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$70,000,000
|
$70,000,000
|
William H. Alsup | SEB Investment Management A... |
Oct. 29, 2021
Oct. 7, 2021 |
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Dendreon Corporation ... |
May 30, 2013
Apr. 24, 2013 |
|
|
Securities
Securities Fraud |
Dismissal | James Donato | In re Stitch Fix Inc. Secur... |
Oct. 29, 2021
Sep. 30, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$667,725
|
$667,725
|
Gerald W. Hepp | Carpenter Law Firm Defined ... |
Jun. 14, 2019
Apr. 29, 2019 |
|
Securities
Breach of Contract |
Expungement | George H. Frisch | Medhat Yacoub v. Fidelity B... |
Jun. 14, 2019
May 1, 2019 |
|
Securities
Securities Exchange Act
Verdict:
$809,000,000
|
$809,000,000
|
Jon S. Tigar | In re Twitter Inc. Securiti... |
Oct. 8, 2021
Sep. 21, 2021 |
|
Securities
Expungement |
Claimant | G. Scott Diddel v. Voya Fin... |
Dec. 13, 2019
Oct. 29, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$16,000,000
|
$16,000,000
|
Lucy H. Koh | SEB Investment Management A... |
Dec. 30, 2021
Nov. 2, 2021 |
|
Securities
|
Claimant | Al Zvinakis as Holder of FP... |
Jan. 3, 2020
Oct. 18, 2019 |
|
|
Securities
Breach of Contract
Verdict:
$1,000,000
|
$1,000,000
|
Jefferies, LLC v. Jon Alan ... |
May 31, 2019
Apr. 8, 2019 |
|
|
Securities
Breach of Duty |
Respondent | Thomas Hirsch v. Merrill Ly... |
Jul. 17, 2020
Mar. 24, 2020 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Annabelle Datzker Trust, as... |
Jun. 19, 2020
Mar. 19, 2020 |
|
|
Securities
Negligence |
Respondent | Ruth Forester v. Randall Sc... |
Jul. 17, 2020
Mar. 19, 2020 |
|
|
Securities
Breach of Contract
Verdict:
$15,000
|
$15,000
Claimant |
Wells Fargo Clearing Servic... |
Aug. 7, 2020
Mar. 11, 2020 |
|
|
Securities
Securities Fraud
Verdict:
$240,000,000
|
$240,000,000
|
Jon S. Tigar | In Re Wells Fargo & Company... |
Jun. 28, 2019
May 14, 2019 |
|
Securities
Securities Fraud
Verdict:
$7,500,000
|
$7,500,000
|
In the Matter of Qualcomm Inc. |
Apr. 2, 2016
Mar. 1, 2016 |
|
|
Securities
Expungement |
Claimant | Mark A. Law v. LPL Financia... |
Jan. 10, 2020
Nov. 4, 2019 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Nov. 8, 2014
Oct. 15, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$54,200,000
|
$54,200,000
|
Dolly M. Gee | In re Woodbridge Investment... |
Jan. 14, 2022
Dec. 17, 2021 |