56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Securities and Exchange Com... |
Nov. 6, 2010
Jan. 5, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
R.L. Wagner Trust - Richard... |
Jun. 2, 2012
May 7, 2012 |
|
|
Securities
Negligence
Verdict:
$94,780
|
$94,780
|
Claire F. Goldsmith Living ... |
Jun. 9, 2012
May 4, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
William Condon v. Kovack Se... |
Jun. 23, 2012
May 3, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$607,568
|
$607,568
|
UBS Financial Services Inc.... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
NAK Investments LLC v. Horm... |
Jun. 23, 2012
May 7, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$1,900,000
|
$1,900,000
|
Securities and Exchange Com... |
Jul. 28, 2012
May 8, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Equitable Settlement |
Damien Moore v. Charles Sch... |
May 26, 2012
Apr. 17, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Steven Badeau; Geneva BCCX ... |
May 26, 2012
Apr. 9, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent |
Leprino Foods Co. v. BNY Me... |
Nov. 3, 2012
Oct. 9, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Joan Levin v. Wedbush Morga... |
Jan. 27, 2007
Apr. 11, 2006 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
City of Pontiac General Emp... |
May 19, 2012
Mar. 30, 2012 |
|
|
Securities
Fraud
Verdict:
$73,150,000
|
$73,150,000
|
Securities and Exchange Com... |
Nov. 6, 2010
Oct. 16, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
In Re: BofI Holding Inc. Sh... |
Mar. 25, 2017
Mar. 1, 2017 |
|
|
Securities
Violations of Exchange Act
Verdict:
$6,300,000
|
$6,300,000
|
U.S. Securities and Exchang... |
Jul. 2, 2011
Jan. 31, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Alan Barrett, Margaret Barr... |
Apr. 1, 2017
Jan. 7, 2017 |
|
|
Securities
Wrongful Termination
Verdict:
-$1
|
-$1
Defense |
Albert S. Chen v. Deutsche ... |
Mar. 12, 2011
Feb. 3, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bruce Vazzana, Ann Vazzana,... |
Mar. 25, 2017
Jan. 13, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Voluntary Dismissal |
Joseph J. Bevilacqua, as Tr... |
Mar. 5, 2011
Feb. 5, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiff |
Securities and Exchange Com... |
Mar. 5, 2011
Feb. 3, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$6,500,000
|
$6,500,000
|
People of the State of Cali... |
Mar. 12, 2011
Feb. 2, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal; Equitable Agreement |
Melvin R. Aoki, Melvin R. A... |
Mar. 19, 2011
Feb. 3, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$3,262,300
|
$3,262,300
|
Stephen A. Whittington, et ... |
Jan. 24, 2009
Nov. 3, 2008 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Lyn Freeman, individually a... |
Mar. 25, 2017
Jan. 25, 2017 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Edward Wayne Butowsky v. Mo... |
Mar. 25, 2017
Jan. 27, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$440,520
|
$440,520
|
Richard W. Strang v. Robert... |
Mar. 25, 2017
Feb. 3, 2017 |
|
|
Securities
Unfair Business Practices
Verdict:
$14,500
|
$14,500
|
James Gordon v. E Trade Sec... |
Mar. 25, 2017
Jan. 24, 2017 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Susan C. Dumas v. E*Trade S... |
Jul. 26, 2014
Jun. 27, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement; Dismissal |
Robert N. Stephens Living T... |
Mar. 26, 2011
Feb. 14, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
G. Arnold Lawton, G. Arnold... |
Jul. 9, 2011
May 20, 2011 |