56041 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Fraud
Verdict:
$3,800,000
|
$3,800,000
|
In re: InfoSonics Corporati... |
Jan. 10, 2009
Oct. 17, 2008 |
|
|
Securities
Breach of Contract
Verdict:
$170,376
|
$170,376
|
Roger Verhage | Confidential |
Jan. 11, 1997
Dec. 5, 1996 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement; Dismissal |
Robert N. Stephens Living T... |
Mar. 26, 2011
Feb. 14, 2011 |
|
|
Securities
Violation of the Securities Act
Verdict:
-$1
|
-$1
Defense |
U.S Securities and Exchange... |
Jan. 4, 2014
Dec. 10, 2013 |
|
|
Securities
Unfair Competition
Verdict:
-$1
|
-$1
Respondent |
Wells Fargo Advisors LLC v.... |
May 4, 2013
Apr. 18, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondents liable |
Ronald W. May, Kathryn R. C... |
Jan. 3, 2009
Nov. 20, 2008 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal with leave to amend |
Thomas J. Primo v. Pacific ... |
May 4, 2013
Apr. 15, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Ralph Rugolo v. Peter Antho... |
Apr. 27, 2013
Apr. 11, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$1,700,000
|
$1,700,000
|
Robert Scott v. Zst Digital... |
May 4, 2013
Mar. 27, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
$10 million (preliminary approval) |
Sasco Investments LP v. U.S... |
Jan. 3, 2009
Jun. 13, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissed with prejudice |
Ronald D. Hershey, Kara L. ... |
Feb. 28, 2009
May 20, 2008 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Joan Levin v. Wedbush Morga... |
Jan. 27, 2007
Apr. 11, 2006 |
|
|
Securities
Fraud
Verdict:
$55,000
|
$55,000
|
Securities and Exchange Com... |
Dec. 27, 2008
May 20, 2008 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Jeffrey Franklin, Moose Pro... |
Apr. 27, 2013
Apr. 10, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$890,814
|
$890,814
|
Morgan Stanley Smith Barney... |
Apr. 20, 2013
Apr. 8, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement recommended |
Kenneth E. Chyten v. United... |
Feb. 14, 2009
Jan. 23, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$2,500
|
$2,500
|
Fae Gedz, individually and ... |
Dec. 4, 2010
Nov. 15, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$2,500,000
|
$2,500,000
|
Vinh Nguyen, individually a... |
Mar. 1, 2014
Jan. 31, 2014 |
|
|
Securities
Fraud
Verdict:
$1,760,100
|
$1,760,100
|
Andrew and Blenda Wright as... |
May 21, 2011
Apr. 27, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Arnold Weinberg v. Alan D. ... |
Apr. 28, 2012
Mar. 12, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In Re Apple Reits Litigation |
May 4, 2013
Apr. 3, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$296,981
|
$296,981
|
UBS Financial Services Inc.... |
Jul. 23, 2011
May 27, 2011 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Nabil Athanassious, Janette... |
Mar. 1, 2014
Feb. 4, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Phillip Parriott, as Truste... |
Mar. 1, 2014
Feb. 3, 2014 |
|
|
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:
$607,568
|
$607,568
|
UBS Financial Services Inc.... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$6,500,000
|
$6,500,000
|
People of the State of Cali... |
Mar. 12, 2011
Feb. 2, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$510,889
|
$510,889
|
Negotiart of America Inc. v... |
Mar. 1, 2014
Feb. 6, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$35,952
|
$35,952
|
Daryl Olson v. John Francis... |
Feb. 8, 2014
Jan. 22, 2014 |
|
|
Securities
Unfair Business Practices
Verdict:
$500,000,000
|
$500,000,000
|
David H. Luther, individual... |
May 4, 2013
Apr. 17, 2013 |