56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
In re Resonant Inc. Securit... |
Sep. 17, 2016
Jul. 11, 2016 |
|
|
Securities
Fraud
Verdict:
$300,000
|
$300,000
|
In the Matter of Raymond J.... |
Jul. 20, 2013
Jul. 8, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
In re JDS Uniphase Corp. Se... |
Mar. 8, 2008
Nov. 27, 2007 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Simon David Lewis, Laurens ... |
Mar. 20, 2010
Feb. 10, 2010 |
|
|
Securities
Breach of Promissory Note
Verdict:
$162,393
|
$162,393
|
Morgan Stanley Smith Barney... |
Jan. 19, 2013
Dec. 26, 2012 |
|
|
Securities
Negligence
Verdict:
$6,932
|
$6,932
|
Steven A. Brick | Persall v. Northwestern |
Jan. 18, 1997
Oct. 1, 1996 |
|
Securities
Securities Fraud
Verdict:
$17,400,000
|
$17,400,000
|
People of the State of Cali... |
Apr. 5, 2014
Feb. 25, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$450,000
|
$450,000
|
The Tanya Martino Trust UAD... |
Mar. 17, 2007
Nov. 10, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Bernard Greenapple, individ... |
Feb. 3, 2007
Nov. 1, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$190,000
|
$190,000
|
Robert M. Sapp Jr. v. ING F... |
Aug. 4, 2012
Jul. 10, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$831,860
|
$831,860
|
Robert E. Lee, individually... |
Nov. 5, 2011
Jul. 29, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
R. Kent Emigh, individually... |
Aug. 27, 2011
Aug. 2, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$49,976
|
$49,976
|
Judith A. Malone v. Fidelit... |
Nov. 5, 2011
Jul. 30, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$30,000,000
|
$30,000,000
|
US Airways Inc. v. Oppenhei... |
Feb. 23, 2013
Jan. 31, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$934,193
|
$934,193
|
Susan K. Myers, individuall... |
Feb. 23, 2013
Feb. 12, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
$2,500,000
|
$2,500,000
|
Securities and Exchange Com... |
Nov. 5, 2011
Aug. 5, 2011 |
|
|
Securities
Stocks
Verdict:
$10,000,000
|
$10,000,000
|
In Re Coventry Health Care ... |
Aug. 17, 2013
Jul. 15, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$156,250
|
$156,250
|
Patricia Castro and Alvaro ... |
Aug. 11, 2012
Jul. 13, 2012 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Claimant |
Grant Arthur Gochin v. UBS ... |
Jan. 24, 2015
Dec. 14, 2014 |
|
|
Securities
Fraud
Verdict:
$91,000
|
$91,000
|
Susan Emadi v. Donald & Com... |
Aug. 21, 1999
Apr. 15, 1999 |
|
|
Securities
Breach of Promissory Note
Verdict:
$713,230
|
$713,230
|
Wells Fargo Advisors, LLC, ... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$17,384
|
$17,384
|
Harvest & Rowe Inc. Retirem... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Bobby Dean Taylor v. Banc o... |
Apr. 1, 2006
Nov. 23, 2005 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Eric Allen Sigdestad, Shane... |
May 25, 2013
May 13, 2013 |
|
|
Securities
Fraud
Verdict:
$1,182,840
|
$1,182,840
|
Consuelo B. Marshall | Thomas E. Snooks v. SRS Tec... |
Feb. 4, 1995
Oct. 24, 1994 |
|
Securities
Securities Fraud
Verdict:
$448,562
|
$448,562
|
Suzy Asad v ProEquities Inc... |
May 25, 2013
May 14, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Equitable Settlement |
New Frontier Media Inc. v. ... |
Sep. 8, 2012
Jul. 12, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
In Re Violin Memory Securit... |
Nov. 22, 2014
Oct. 31, 2014 |
|
|
Securities
Foreign Corrupt Practices Act
Verdict:
$55,000,000
|
$55,000,000
|
In the Matter of Bio-Rad La... |
Nov. 29, 2014
Nov. 3, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,300,000
|
$3,300,000
|
In Re Maxwell Technologies ... |
Nov. 22, 2014
Nov. 3, 2014 |