56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$250,000 on respondents' counterclaim |
UBS Financial Services Inc.... |
Apr. 20, 2013
Apr. 2, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$873,232
|
$873,232
|
Wells Fargo Advisors LLC v.... |
Apr. 20, 2013
Mar. 27, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
$4,250,000
|
$4,250,000
|
Paul Luman, Individually an... |
Apr. 20, 2013
Feb. 8, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Respondent |
Jack Hoffman and Taeko Hoff... |
Apr. 13, 2013
Apr. 1, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$10,000,000
|
$10,000,000
|
Carl Stork v. John Textor, ... |
Apr. 13, 2013
Nov. 29, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Sheldon Bloch, Jacki Conoll... |
Apr. 13, 2013
Mar. 28, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,137,920
|
$1,137,920
|
Karen Lamoreaux, Karen Lamo... |
Apr. 13, 2013
Mar. 27, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
John Shishko Revocable Trus... |
Jan. 25, 2014
Jan. 6, 2014 |
|
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Dismissal |
Lawrence Zucker v. Marc L. ... |
Jul. 28, 2012
Jun. 22, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$30,000
|
$30,000
|
John Anthony Meadows, indiv... |
Sep. 20, 2014
Jul. 18, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Bernd Liebergesell, Annette... |
Aug. 16, 2014
Jul. 21, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$110,000
|
$110,000
|
The Delp Heritage Trust v. ... |
Aug. 16, 2014
Jul. 22, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$778,333
|
$778,333
|
Dan Katz, individually and ... |
Aug. 3, 2013
Jul. 12, 2013 |
|
|
Securities
Employment
Verdict:
$241,226
|
$241,226
|
Morgan Stanley & Co. Inc. v... |
Jan. 25, 2014
Jan. 3, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Eliseo Alatorre v. Unionban... |
Apr. 6, 2013
Mar. 21, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
$5,000,000
|
$5,000,000
|
Securities and Exchange Com... |
Feb. 1, 2014
Jan. 9, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$285,743
|
$285,743
|
Wells Fargo Advisors LLC fk... |
Jun. 4, 2011
May 2, 2011 |
|
|
Securities
Breach of Promissory Note
Verdict:
$75,000
|
$75,000
|
Ameriprise Financial Servic... |
Apr. 6, 2013
Mar. 18, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$991,728
|
$991,728
|
Wells Fargo Investments LLC... |
Jun. 22, 2013
Mar. 19, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
K&M Dattani Irrevocable Tru... |
Apr. 6, 2013
Mar. 22, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Richard Klein v. Charies Sc... |
Apr. 6, 2013
Mar. 20, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Diegel Family Living Trust ... |
Aug. 16, 2014
Jul. 28, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$469,954
|
$469,954
|
Lehman Brothers Holdings In... |
Jul. 21, 2012
Jun. 21, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$3,150,000
|
$3,150,000
|
Ramon Gomez, on behalf of h... |
Mar. 30, 2013
Feb. 21, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$850,000
|
$850,000
|
Securities And Exchange Com... |
Mar. 30, 2013
Feb. 27, 2013 |
|
|
Securities
Negligence
Verdict:
$118,217
|
$118,217
|
Lori A. Strayn, individuall... |
Mar. 23, 2013
Mar. 7, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$16,250,000
|
$16,250,000
|
Marcelo Cunha v. Hansen Nat... |
Aug. 16, 2014
Jul. 28, 2014 |
|
|
Securities
Unfair Business Practices
Verdict:
$108,000
|
$108,000
|
Willie L. Benning v. Cambri... |
Jan. 17, 2015
Jul. 30, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$3,000,000
|
$3,000,000
|
Burt Weston, on behalf of h... |
Feb. 8, 2014
Dec. 16, 2013 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Dismissal |
Merrill Lynch, Pierce, Fenn... |
Feb. 1, 2014
Jan. 10, 2014 |