56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Exchange Act
Verdict:
$1,200,000
|
$1,200,000
|
Otis D. Wright II | Noe Barocio, Salvador Baroc... |
Dec. 14, 2018
|
|
Securities
Verdict:
$150,000,000
|
$150,000,000
|
People of the State of Cali... |
Jun. 5, 2020
Apr. 25, 2019 |
|
|
Securities
Securities Exchange Act |
Permanent Injunction | Percy Anderson | Securities and Exchange Com... |
Aug. 12, 2022
May 27, 2022 |
|
Securities
Securities Fraud
Verdict:
$3,500,000
|
$3,500,000
|
Fred W. Slaughter | Timothy Brady v. Delta Ener... |
Aug. 30, 2024
|
|
Securities
Commodities |
Dismissal | William H. Orrick III | John E. Golub, individually... |
Jan. 24, 2020
Sep. 3, 2019 |
|
Securities
Securities Exchange Act
Verdict:
$17,500,000
|
$17,500,000
|
Vince G. Chhabria | Paul Hayden, et al. v. Port... |
Nov. 4, 2022
Sep. 19, 2022 |
|
Securities
Expungement |
Expungement | Ralph L. Halpern | Marc Alan Johnson v. Wells ... |
Mar. 8, 2019
Dec. 14, 2018 |
|
Securities
Securities Fraud
Verdict:
$16,000,000
|
$16,000,000
|
Lucy H. Koh | SEB Investment Management A... |
Dec. 30, 2021
Nov. 2, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$700,000
|
$700,000
|
Charles R. Breyer | Securities and Exchange Com... |
Jul. 2, 2021
Jun. 9, 2021 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Philip Ashburn, Connie John... |
Feb. 16, 2013
Jan. 31, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$8,319,233
|
$8,319,233
|
Move Inc. v. Citigroup Glob... |
Mar. 6, 2020
May 20, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$775,000
|
$775,000
|
Morrison C. England Jr. | Special Situations Fund III... |
Mar. 8, 2019
Jan. 24, 2019 |
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Virginia A. Phillips | Gilberto Ferreira, individu... |
Oct. 7, 2022
Jul. 22, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$3,500,000
|
$3,500,000
|
Stephen V. Wilson | Securities and Exchange Com... |
Apr. 23, 2021
Mar. 30, 2021 |
|
Securities
Securities Fraud |
DeAnnah L. Thomas, Richard ... |
Apr. 10, 2020
Feb. 20, 2020 |
||
|
Securities
Expungement |
Lee Siegal Henderson v. Mor... |
Nov. 8, 2019
Oct. 3, 2019 |
||
|
Securities
Suitability |
Respondent | Michael Terry Nalewaja v. T... |
Apr. 10, 2020
Feb. 18, 2020 |
|
|
Securities
Securities Fraud
Verdict:
$5,498,941
|
$5,498,941
|
John W. Holcomb | Securities and Exchange Com... |
Jun. 18, 2021
May 20, 2021 |
|
Securities
Commodities
Verdict:
$5,500,000
|
$5,500,000
|
Dolly M. Gee | In re Capstone Turbine Corp... |
Dec. 20, 2019
Nov. 15, 2019 |
|
Securities
Breach of Contract
Verdict:
$883,334
|
$883,334
|
Jefferies LLC v. Jerald Ebe... |
Apr. 10, 2020
Feb. 20, 2020 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,250,000
|
$3,250,000
|
Susan Y. Illston | Jay Rabkin, individually an... |
Jan. 25, 2019
Sep. 28, 2018 |
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Donald Bradford Crane v. Ce... |
Apr. 10, 2020
Feb. 28, 2020 |
|
Securities
|
Alden S. Adkins | Lionel Albert Shaw v. Summi... |
Jan. 25, 2019
Dec. 7, 2018 |
|
|
Securities
Securities Fraud
Verdict:
$54,200,000
|
$54,200,000
|
Dolly M. Gee | In re Woodbridge Investment... |
Jan. 14, 2022
Dec. 17, 2021 |
|
Securities
Securities Fraud
Verdict:
$19,750,000
|
$19,750,000
|
Andrew J. Guilford | In re Banc of California Se... |
Jan. 3, 2020
Dec. 2, 2019 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Michael Noia et al. v. Amer... |
May 24, 2019
Apr. 9, 2019 |
|
|
Securities
Breach of Contract
Verdict:
$115,000
|
$115,000
|
Jessica Andrews-Kunst v. Ch... |
Jun. 23, 2012
May 4, 2012 |
|
|
Securities
Fraud |
Respondent | Paula Tyler, Trustee of the... |
May 24, 2019
Apr. 10, 2019 |
|
|
Securities
Securities Fraud |
Dismissal | James Donato | In re Stitch Fix Inc. Secur... |
Oct. 29, 2021
Sep. 30, 2021 |
|
Securities
Expungement |
Expungement | Frank Feipang Auyeung v. Ba... |
May 24, 2019
Apr. 10, 2019 |