56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
William Condon v. Kovack Se... |
Jun. 23, 2012
May 3, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Vince Bonato v. Yahoo! Inc.... |
Sep. 1, 2012
Aug. 14, 2012 |
|
|
Securities
Fraud
Verdict:
$8,500,000
|
$8,500,000
|
In re Spectranetics Corpora... |
Mar. 5, 2011
Sep. 11, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Vikki Vargas v. Sharon Kear... |
Oct. 10, 2009
Jun. 3, 2009 |
|
|
Securities
Violation of the Securities Act
Verdict:
-$1
|
-$1
Defense |
U.S Securities and Exchange... |
Jan. 4, 2014
Dec. 10, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent Stone liable, all other claims denied. |
Amardeep Misha, Elizabeth T... |
Feb. 14, 2009
Jan. 16, 2009 |
|
|
Securities
Fraud
Verdict:
$4,023,950
|
$4,023,950
|
U.S. Securities and Exchang... |
Nov. 1, 2008
Jan. 29, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement recommended |
Kenneth E. Chyten v. United... |
Feb. 14, 2009
Jan. 23, 2009 |
|
|
Securities
Fraud
Verdict:
$1,760,100
|
$1,760,100
|
Andrew and Blenda Wright as... |
May 21, 2011
Apr. 27, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Gary Maag v. Charles Schwab... |
Dec. 31, 2010
Dec. 7, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$65,000 as to respondents; $565,064 as to claimants/counter-respondents |
Kayvan Karoon, Karoon Capit... |
Dec. 31, 2010
Nov. 19, 2010 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
George Sardeson, Florence T... |
Dec. 30, 2006
Apr. 21, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$100,000 upon assignment of interests in the Domin-8 investment |
Lawrence Ngou v. DeWaay Fin... |
Feb. 26, 2011
Jan. 19, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Clara M. Hickle v. Wells Fa... |
Jan. 19, 2013
Dec. 31, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$87,500
|
$87,500
|
Jose Cruz, IRA v. Citigroup... |
Feb. 7, 2009
Dec. 22, 2008 |
|
|
Securities
Securities Fraud
Verdict:
$1,900,000
|
$1,900,000
|
Securities and Exchange Com... |
Jul. 28, 2012
May 8, 2012 |
|
|
Securities
Fraud
Verdict:
$15,500,000
|
$15,500,000
|
In re Syncor International ... |
Mar. 14, 2009
Oct. 8, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Bradford Smith v. UBS Finan... |
Apr. 1, 2017
Jan. 23, 2017 |
|
|
Securities
Fraud
Verdict:
$55,000
|
$55,000
|
Securities and Exchange Com... |
Dec. 27, 2008
May 20, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement |
Lesmir Inc. dba Rosen Prope... |
Dec. 4, 2010
Nov. 10, 2010 |
|
|
Securities
Unfair Business Practices
Verdict:
$14,500
|
$14,500
|
James Gordon v. E Trade Sec... |
Mar. 25, 2017
Jan. 24, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$26,500,000
|
$26,500,000
|
Securities and Exchange Com... |
Feb. 27, 2016
Feb. 1, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claimants |
Friedman, et al. v. Brewste... |
Feb. 12, 2011
Jan. 7, 2011 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal with leave to amend |
Thomas J. Primo v. Pacific ... |
May 4, 2013
Apr. 15, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$32,247 compensatory, $30,000 attorney fees, $6,000 expert witness fees, and $14,400 FINRA hearing session fees |
Robert J. Bridge v. Merrill... |
Dec. 31, 2010
Dec. 2, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Edgar T. Clark, M.D., indiv... |
Dec. 4, 2010
Nov. 10, 2010 |
|
|
Securities
CLRA
Verdict:
-$1
|
-$1
Defense |
William Hahn, Jeane Hahn v.... |
Nov. 27, 2010
Oct. 18, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Moshe Shram, Hanna Shram v.... |
Dec. 24, 2010
Nov. 18, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
HSH Family Trust U/A Dated ... |
Sep. 12, 2015
May 22, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement; Dismissal |
Robert N. Stephens Living T... |
Mar. 26, 2011
Feb. 14, 2011 |