56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$1,800,000
|
$1,800,000
|
Securities and Exchange Com... |
Apr. 6, 2013
Mar. 19, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,375,000
|
$1,375,000
|
Beth L. Freeman | In re: Dropbox Inc. Securit... |
Mar. 3, 2023
Dec. 8, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$750,000
|
$750,000
|
Andre Birotte Jr. | George Barney, individually... |
Dec. 9, 2022
Aug. 29, 2022 |
|
Securities
FINRA Rules
Verdict:
$45,000
|
$45,000
|
Sal Curattalo, Mary Curatta... |
Nov. 29, 2014
Nov. 6, 2014 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Adrian A. Colley | Jingjing Xu and Sandeep Mir... |
May 17, 2019
Apr. 1, 2019 |
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Dendreon Corporation ... |
May 30, 2013
Apr. 24, 2013 |
|
|
Securities
Lending
Verdict:
$24,975,000
|
$24,975,000
|
City of Ann Arbor Employees... |
Oct. 13, 2012
Sep. 11, 2012 |
|
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Ronald Mark Daly v. Piper J... |
Dec. 15, 2017
Nov. 6, 2017 |
|
Securities
Securities Exchange Act |
Dismissal | Edward J. Davila | Sofia Zoumboulakis v. Richa... |
Nov. 3, 2017
Sep. 22, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Richard M. Norman | Myron Allen, individually, ... |
Nov. 10, 2017
Oct. 5, 2017 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Michael Stief v. Advanced E... |
Jun. 6, 2013
May 20, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Gregory Allen Headrick v. U... |
May 30, 2013
May 19, 2013 |
|
|
Securities
Intentional and Negligent Misrepresentation/Concealment |
Respondent | Kirtley M. Thiesmeyer | Wan Yu Luo v. Ameriprise Fi... |
Nov. 10, 2017
Sep. 18, 2017 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$298,667 on counterclaim |
Wedbush Securities Inc. v. ... |
Jun. 6, 2013
May 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Ralph L. Jacobson | Susan Coghlan, Hugh Cotter ... |
Nov. 10, 2017
Sep. 25, 2017 |
|
Securities
Breach of Implied Covenant of Good Faith and Fair Dealing |
Respondent | David J. Anderson | Joseph Manuel Focil v. Well... |
Jan. 12, 2018
Aug. 17, 2017 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Cross-claims Denied |
Raymond James Financial Ser... |
Nov. 6, 2014
Oct. 8, 2014 |
|
|
Securities
Expungement |
Expungement Denied | Edward Blumstein | Victoria Lynn Mueller v. Ch... |
Feb. 2, 2018
Nov. 21, 2017 |
|
Securities
Securities Fraud
Verdict:
$147,019
|
$147,019
|
Robert E. Jenks Jr. | Donald Adams, Eleanor M. Re... |
Oct. 6, 2017
Aug. 15, 2017 |
|
Securities
Violation of the Protocol for Broker Recruiting |
Claimant | Evan A. Gould | Southwest Securities Inc. n... |
Oct. 6, 2017
Aug. 10, 2017 |
|
Securities
Securities Fraud
Verdict:
$1,400,000,000
|
$1,400,000,000
|
People of the State of Cali... |
Apr. 3, 2010
Nov. 17, 2009 |
|
|
Securities
Securities Exchange Act
Verdict:
$29,500,000
|
$29,500,000
|
Yvonne Gonzalez Rogers | Babak Hatamian, Lussu Dennj... |
Nov. 24, 2017
Oct. 25, 2017 |
|
Securities
FINRA Rules |
Expungement | Robert F. Saint-Aubin | Christopher Alan Clark v. L... |
Feb. 9, 2018
Dec. 16, 2017 |
|
Securities
Securities Fraud
Verdict:
$200,000
|
$200,000
|
Stephen V. Wilson | Securities and Exchange Com... |
Jan. 26, 2018
Dec. 22, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Mark Kalish | Larry Haberkorn v. Wells Fa... |
Sep. 1, 2017
Jun. 22, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Ray Pollard, successor Trus... |
Nov. 10, 2017
Sep. 21, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Thomas E. Shuck | Paul Michel v. E-Trade Secu... |
Sep. 1, 2017
Jun. 7, 2017 |
|
Securities
Unsuitability |
Dismissal | G.E. Craig Doupe | Dwight Jay Hansen IRA, Dwig... |
Feb. 2, 2018
Dec. 19, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Richard Norman | Simco Company v. E-Trade Se... |
Sep. 1, 2017
Jun. 23, 2017 |
|
Securities
Professional Malpractice
Verdict:
$0
|
$0
|
Kenan Oldham | Joyce Kossack, Trustee-the ... |
Jun. 27, 1998
Mar. 25, 1998 |