56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Promissory Note
Verdict:
$175,734
|
$175,734
|
Ameriprise Financial Servic... |
Apr. 26, 2014
Mar. 28, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$1,900,000
|
$1,900,000
|
Securities and Exchange Com... |
Jul. 28, 2012
May 8, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondents liable |
Ronald W. May, Kathryn R. C... |
Jan. 3, 2009
Nov. 20, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Fred Hetzel v. Alpha Omega ... |
Feb. 14, 2015
Apr. 7, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Equitable Settlement |
Damien Moore v. Charles Sch... |
May 26, 2012
Apr. 17, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
David W. Ramey, Trustee v. ... |
May 3, 2014
Apr. 8, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Steven Badeau; Geneva BCCX ... |
May 26, 2012
Apr. 9, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent |
Leprino Foods Co. v. BNY Me... |
Nov. 3, 2012
Oct. 9, 2012 |
|
|
Securities
Breach of Promissory Note
Verdict:
$890,814
|
$890,814
|
Morgan Stanley Smith Barney... |
Apr. 20, 2013
Apr. 8, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Jeffrey Franklin, Moose Pro... |
Apr. 27, 2013
Apr. 10, 2013 |
|
|
Securities
Negligence
Verdict:
$275,987
|
$275,987
|
Shirley Peltier v. Cullum &... |
Jan. 16, 2016
Nov. 19, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$1,700,000
|
$1,700,000
|
Robert Scott v. Zst Digital... |
May 4, 2013
Mar. 27, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
John D. Haas, Kathy Haas, N... |
Jan. 16, 2016
Nov. 19, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Irving J. Nast v. Equities ... |
Jan. 16, 2016
Nov. 24, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
$10 million (preliminary approval) |
Sasco Investments LP v. U.S... |
Jan. 3, 2009
Jun. 13, 2008 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Ralph Rugolo v. Peter Antho... |
Apr. 27, 2013
Apr. 11, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$607,568
|
$607,568
|
UBS Financial Services Inc.... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Michael R. Smith, Carole Sm... |
Jan. 16, 2016
Sep. 3, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Genesis Venture Capital Cor... |
Jan. 16, 2016
Dec. 1, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Paul A. Heimberg, individua... |
Jan. 16, 2016
Dec. 18, 2015 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement Denied |
Kenneth R. Hunt; Kenneth R.... |
Jan. 16, 2016
Dec. 29, 2015 |
|
|
Securities
Violation of the Securities Act
Verdict:
-$1
|
-$1
Defense |
U.S Securities and Exchange... |
Jan. 4, 2014
Dec. 10, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$16,250,000
|
$16,250,000
|
Marcelo Cunha v. Hansen Nat... |
Aug. 16, 2014
Jul. 28, 2014 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Donald Stunkart v. Edward J... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$80,000,000
|
$80,000,000
|
Gordon Noble, et al. v. Gre... |
Jan. 23, 2016
Dec. 17, 2015 |
|
|
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
Fraud
Verdict:
-$1
|
-$1
Dismissal |
City of Pontiac General Emp... |
May 19, 2012
Mar. 30, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Liability only |
Securities and Exchange Com... |
Jul. 21, 2007
Mar. 7, 2007 |
|
|
Securities
Breach of Contract
Verdict:
$170,376
|
$170,376
|
Roger Verhage | Confidential |
Jan. 11, 1997
Dec. 5, 1996 |
|
Securities
Fraud
Verdict:
$55,000
|
$55,000
|
Securities and Exchange Com... |
Dec. 27, 2008
May 20, 2008 |