56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$118,900,000
|
$118,900,000
|
Securities And Exchange Com... |
Feb. 5, 2011
Jan. 11, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Edward Jones v. John C. Lin... |
Aug. 10, 2013
Jul. 29, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Denial |
Robert Stafford Sr., Cynthi... |
Dec. 17, 2011
Nov. 16, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
In re Bridgepoint Education... |
Nov. 15, 2014
Oct. 17, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Dan Katz, Peter Van Nuis an... |
Dec. 31, 2011
Dec. 6, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Rhonda Foster v. Private As... |
Mar. 17, 2012
Feb. 20, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Barbara Quick, Gary Quick, ... |
Nov. 8, 2014
Oct. 14, 2014 |
|
|
Securities
Violation of California Securities Law
Verdict:
$800,000
|
$800,000
|
Bijan Dokhanian, Shahdokht ... |
Feb. 21, 2015
Oct. 13, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$450,000
|
$450,000
|
The Tanya Martino Trust UAD... |
Mar. 17, 2007
Nov. 10, 2006 |
|
|
Securities
Violations of Exchange Act
Verdict:
$2,125,000
|
$2,125,000
|
James Rose v. Deer Consumer... |
Aug. 24, 2013
Aug. 9, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Bernard Greenapple, individ... |
Feb. 3, 2007
Nov. 1, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Yvonne D. Kloehn v. Wells F... |
Aug. 24, 2013
Aug. 12, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$15,250,000
|
$15,250,000
|
Thomas McKenna, individuall... |
Jun. 29, 2013
May 23, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Equitable Settlement |
Securities and Exchange Com... |
Mar. 10, 2012
Feb. 13, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Cindy Bridges-Ross v. Morga... |
Dec. 17, 2011
Nov. 15, 2011 |
|
|
Securities
Violations of Exchange Act
Verdict:
$2,500,000
|
$2,500,000
|
Securities and Exchange Com... |
Nov. 5, 2011
Aug. 5, 2011 |
|
|
Securities
Professional Malpractice
Verdict:
$4,500,000
|
$4,500,000
|
In re: Wireless Facilities ... |
May 16, 2009
Aug. 29, 2008 |
|
|
Securities
Stocks
Verdict:
$10,000,000
|
$10,000,000
|
In Re Coventry Health Care ... |
Aug. 17, 2013
Jul. 15, 2013 |
|
|
Securities
Fraud
Verdict:
$173,000,000
|
$173,000,000
|
Securities and Exchange Com... |
May 22, 2010
May 7, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Mixed |
Bill John Callis v. Banc of... |
Mar. 17, 2012
Feb. 14, 2012 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Alaris F. Thorns IRA Rollov... |
Aug. 31, 2013
Aug. 14, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Karl Townsend, Karen Fann T... |
Oct. 20, 2012
Sep. 25, 2012 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Expungement |
Richard W. Barrett v. J.P M... |
Oct. 20, 2012
Sep. 24, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Denial |
Cynthia L. Stirling, Cynthi... |
Dec. 17, 2011
Nov. 23, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ronald L. Pelley v. Charles... |
Feb. 20, 2010
Jan. 21, 2010 |
|
|
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 Contract
Verdict:
-$1
|
-$1
Respondent |
Thomas Edwin Logan v. Linco... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$155,450
|
$155,450
|
John C. Jones v. Wells Farg... |
Jun. 12, 2010
May 20, 2010 |