56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement Denied | Jonathan B. Gilbert | Linda Lundstrom Cook v. VSR... |
Apr. 12, 2019
Feb. 27, 2019 |
|
Securities
Verdict:
$157,000
|
$157,000
|
John A. Kronstadt | Securities and Exchange Com... |
Oct. 23, 2020
Sep. 21, 2020 |
|
Securities
|
Dismissal | Cormac J. Carney | In re Yogaworks Inc., Secur... |
Jun. 5, 2020
Apr. 23, 2020 |
|
Securities
Expungement |
Expungement | Herbert Liberman | Young M. Chung v. Merrill L... |
Dec. 28, 2018
Sep. 26, 2018 |
|
Securities
Securities Exchange Act |
Dismissal | Susan Y. Illston | Electrical Workers Pension ... |
Dec. 17, 2021
Sep. 15, 2021 |
|
Securities
Professional Malpractice
Verdict:
$12,617
|
$12,617
|
Eileen B. Cohen, Allen A. C... |
Nov. 26, 2011
Nov. 10, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$2,819,692
|
$2,819,692
|
Jeffrey S. White | Securities and Exchange Com... |
Jun. 24, 2022
Apr. 11, 2022 |
|
Securities
Expungement |
Expungement | Robert D. Sussin | David Munho Choi v. LPL Fin... |
Mar. 27, 2020
Jan. 29, 2020 |
|
Securities
Expungement |
Respondent | Cynthia Mary Couyoumjian v.... |
Mar. 13, 2020
Nov. 8, 2019 |
|
|
Securities
Securities Exchange Act |
Dismissal | Consuelo B. Marshall | Glen Barnes, individually a... |
Jan. 28, 2022
Apr. 6, 2021 |
|
Securities
Expungement |
Claimant | George L. Tindall | Steven Craig Henningson v. ... |
Nov. 29, 2019
Oct. 8, 2019 |
|
Securities
Expungement |
Claimant | Peter Carmine Covino v. VSR... |
Aug. 7, 2020
Mar. 31, 2020 |
|
|
Securities
Expungement |
Expungement | Peter H. Daly | Shawn Michael Richardson v.... |
Mar. 1, 2019
Dec. 28, 2018 |
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Lorenzo Daniel Esparza v. J... |
Mar. 1, 2019
Dec. 27, 2018 |
|
Securities
Securities Exchange Act |
Dismissal | David O. Carter | R. Brian Terenzini, individ... |
Jul. 29, 2022
Jun. 9, 2022 |
|
Securities
Expungement |
Respondent | Alan Stamm | Timothy Heft Hughes v. SECU... |
Mar. 1, 2019
Jan. 3, 2019 |
|
Securities
Breach of Promissory Note
Verdict:
$345,382
|
$345,382
Claimant |
Wells Fargo Advisors, LLC v... |
Jul. 17, 2020
Mar. 26, 2020 |
|
|
Securities
Securities Fraud
Verdict:
$5,900,000
|
$5,900,000
|
John A. Houston | Securities and Exchange Com... |
Jan. 4, 2019
Nov. 16, 2018 |
|
Securities
Expungement |
Claimant | Barak Raviv v. UBS Financia... |
Jun. 19, 2020
Apr. 9, 2020 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | The Leonard and Gen Winton ... |
Mar. 13, 2020
Nov. 8, 2019 |
|
|
Securities
Expungement |
Claimant | Mary M. Bush | Garret Ray Morgan v. Securi... |
Dec. 27, 2019
Oct. 9, 2019 |
|
Securities
Securities Exchange Act |
Dismissal | Susan Y. Illston | Christopher L. Sayce, Indiv... |
Oct. 29, 2021
Oct. 6, 2021 |
|
Securities
Negligence
Verdict:
$17,500,000
|
$17,500,000
|
In re Aqueous Film-Forming ... |
Apr. 30, 2021
Mar. 29, 2021 |
|
|
Securities
Securities Exchange Act
Verdict:
$30,000,000
|
$30,000,000
|
Jeffrey S. White | In re Wageworks Inc. Securi... |
Jul. 2, 2021
May 3, 2021 |
|
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | New York Hotel Trades Counc... |
Oct. 4, 2019
Aug. 12, 2019 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Lacey Odis Patrick Corbett ... |
Sep. 29, 2012
Aug. 30, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Haywood S. Gilliam Jr. | In Re Aqua Metals Inc. Secu... |
Mar. 25, 2022
Mar. 8, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$33,000,000
|
$33,000,000
|
Haywood S. Gilliam Jr. | Greg Fleming, individually ... |
Jun. 24, 2022
Mar. 31, 2022 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Louise Leon v. Dale William... |
Jan. 19, 2013
Dec. 21, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$700,000
|
$700,000
|
Charles R. Breyer | Securities and Exchange Com... |
Jul. 2, 2021
Jun. 9, 2021 |