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56041 Rulings

Topic Case Name Published / Result

Securities

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