56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
NASD
Verdict:
$50,000
|
$50,000
|
John P. and Ana Jahn, Trust... |
Nov. 11, 2006
Jan. 23, 2006 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Jay E. Ash v. Ronald Allen ... |
Oct. 6, 2012
Sep. 6, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Michael Pope, Maxine O. Pop... |
Jun. 29, 2013
Jun. 13, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Carolyn Erskine v. Michael ... |
Dec. 20, 2014
Nov. 18, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Thomas A. Seaman, in his ca... |
Feb. 14, 2015
Apr. 28, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
United Micronesia Developme... |
Jul. 13, 2013
Jun. 26, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
$5,799,770
|
$5,799,770
|
Securities and Exchange Com... |
May 31, 2014
May 12, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Denial |
Merrill Lynch, Pierce, Fenn... |
Apr. 14, 2012
Mar. 16, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Police Retirement Systems o... |
Jul. 7, 2012
May 22, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$90,961
|
$90,961
Consent Judgment |
Securities and Exchange Com... |
Feb. 7, 2015
Dec. 23, 2014 |
|
|
Securities
Unfair Business Practices
Verdict:
$151,506
|
$151,506
|
Martina Hutchinson, individ... |
Mar. 8, 2014
Feb. 10, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Jamal Abdul-Kabir, Joyce L.... |
Oct. 20, 2012
Sep. 25, 2012 |
|
|
Securities
Fraud
Verdict:
$235,000,000
|
$235,000,000
|
In re Charles Schwab Corp. ... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,405,390
|
$1,405,390
|
Jane Ellison Usher, both in... |
Dec. 17, 2011
Nov. 29, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Scott Lambert, Laura Lamber... |
Mar. 15, 2014
Feb. 11, 2014 |
|
|
Securities
Stocks
Verdict:
$329,239
|
$329,239
|
Joan Kushner, Michael Eggim... |
Sep. 22, 2012
Aug. 30, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Defense |
Scott Singleton v. E-Trade ... |
Oct. 31, 2015
Aug. 28, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
10100 Culver City LLC, Farr... |
Dec. 13, 2014
Nov. 19, 2014 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Wells Fargo Investments, LL... |
Oct. 28, 2006
Apr. 21, 2006 |
|
|
Securities
Fraud
Verdict:
$150,000
|
$150,000
|
Securities and Exchange Com... |
Dec. 10, 2011
Nov. 22, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$550,505
|
$550,505
|
The Selan Family Trust dd A... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Fraud
Verdict:
$170,870,000
|
$170,870,000
|
Claghorn, et al. v. Edsaco,... |
Jun. 8, 2002
Apr. 16, 2002 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Wayne C. Conlee, individual... |
Mar. 8, 2014
Jan. 21, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$485,000
|
$485,000
|
Benjamin L. Hoch, an indivi... |
Dec. 13, 2014
Nov. 19, 2014 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Joseph R. Loprieato, Peggy ... |
May 24, 2014
Apr. 29, 2014 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Dismissal |
Donald Sehmel and Mary Sehm... |
Jun. 15, 2013
Jun. 3, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiffs |
In re James Donzil Roberts ... |
Oct. 24, 2015
Sep. 9, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$4,366,790
|
$4,366,790
|
Securities and Exchange Com... |
Oct. 31, 2015
Jul. 17, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Moshe Shram, Hanna Shram v.... |
Dec. 24, 2010
Nov. 18, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
U.S. Securities and Exchang... |
Sep. 29, 2012
Jul. 31, 2012 |