56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Permanent Injunction |
U.S. Bancorp Investments In... |
May 18, 2013
May 2, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$3,750,000
|
$3,750,000
|
U.S. Securities and Exchang... |
Jun. 1, 2013
May 15, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$17,384
|
$17,384
|
Harvest & Rowe Inc. Retirem... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$437,626
|
$437,626
|
Manuel Bernal, Jean Bernal,... |
Oct. 22, 2011
Jul. 25, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,218,220
|
$1,218,220
|
Narramore Christian Foundat... |
Mar. 24, 2007
Nov. 27, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$88,470
|
$88,470
|
Victor Chang, individually ... |
Oct. 31, 2009
Sep. 10, 2009 |
|
|
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
Expungement |
Larry McCumber and Joyce Mc... |
May 18, 2013
Apr. 30, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$49,976
|
$49,976
|
Judith A. Malone v. Fidelit... |
Nov. 5, 2011
Jul. 30, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Lee Alfred Tripodi v. Worth... |
Jun. 8, 2013
May 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$150,000
|
$150,000
|
Confidential |
Jan. 1, 2001
Dec. 15, 2000 |
|
|
Securities
Professional Malpractice
Verdict:
$4,500,000
|
$4,500,000
|
In re: Wireless Facilities ... |
May 16, 2009
Aug. 29, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,105,000
|
$1,105,000
|
Douglas Beal, Marjorie Gill... |
Nov. 12, 2016
Oct. 4, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Alfred W. Richardson IRA, A... |
Aug. 11, 2012
Jul. 10, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Bobby Dean Taylor v. Banc o... |
Apr. 1, 2006
Nov. 23, 2005 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$3,487,240
|
$3,487,240
|
Diane Truly, individually a... |
Feb. 3, 2007
Nov. 28, 2006 |
|
|
Securities
Fraud
Verdict:
$91,000
|
$91,000
|
Susan Emadi v. Donald & Com... |
Aug. 21, 1999
Apr. 15, 1999 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
A. J. Copeland v. Raymond J... |
May 18, 2013
May 6, 2013 |
|
|
Securities
Unfair Business Practices
Verdict:
-$1
|
-$1
Non-Prosecution Agreement |
U.S. Securities and Exchang... |
May 11, 2013
Apr. 19, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$60,000
|
$60,000
|
Jeanne Van Order v. Securit... |
Jan. 27, 2007
Nov. 10, 2006 |
|
|
Securities
Suitability
Verdict:
$6,121
|
$6,121
|
Michael Bodnar v. Sagepoint... |
Nov. 15, 2014
Oct. 20, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$41,251
|
$41,251
|
Mary Nassimi v. Brookstreet... |
Feb. 3, 2007
Nov. 7, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$4,354,790
|
$4,354,790
|
Wedbush Morgan Securities I... |
Nov. 14, 2009
Jul. 20, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Gary Maag v. Charles Schwab... |
Dec. 31, 2010
Dec. 7, 2010 |
|
|
Securities
NASD
Verdict:
$9,500
|
$9,500
|
Wells Fargo Investments, LL... |
Dec. 2, 2006
May 1, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Bolen Family Trust, Earl D.... |
Dec. 4, 2010
Nov. 15, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Aldrich J. Fernandez v. Wac... |
Dec. 4, 2010
Nov. 16, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Edgar T. Clark, M.D., indiv... |
Dec. 4, 2010
Nov. 10, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$26,500,000
|
$26,500,000
|
Securities and Exchange Com... |
Feb. 27, 2016
Feb. 1, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement |
Lesmir Inc. dba Rosen Prope... |
Dec. 4, 2010
Nov. 10, 2010 |