57085 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Patricia A. Meyer, Robert H... |
Dec. 19, 2009
Oct. 31, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Isaac Applbaum, individuall... |
Dec. 25, 2009
Nov. 10, 2009 |
|
|
Securities
Breach of Promissory Note
Verdict:
$210,532
|
$210,532
|
Confidential |
Apr. 14, 2007
Jan. 17, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$338,646 (plus interest) |
Lim Cheng Low, Lee Fang Ng ... |
Sep. 4, 2010
Aug. 12, 2010 |
|
|
Securities
NASD
Verdict:
$194,015
|
$194,015
|
Deanna Johnson, Clint A. Jo... |
Jun. 16, 2007
Jan. 2, 2007 |
|
|
Securities
Fraud
Verdict:
$512,000
|
$512,000
|
Leonard Becker and Nancy Be... |
May 19, 2007
Jan. 17, 2007 |
|
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
Ned B. Young | Amy Wellman and Harold Well... |
Feb. 18, 2006
Oct. 11, 2005 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Kline Enterprises Inc. v. S... |
Feb. 4, 2012
Jan. 6, 2012 |
|
|
Securities
Fraud
Verdict:
$3,150,680
|
$3,150,680
|
Richman Bay v. Roger A. Fea... |
Jan. 9, 2010
Sep. 1, 2009 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Keith M. Steel, Anpei Lin, ... |
Feb. 2, 2013
Jan. 16, 2013 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Equitable Settlement |
Amylin Pharmaceuticals Inc.... |
Dec. 3, 2011
Nov. 9, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kathleen Chen v. Morgan Sta... |
Mar. 31, 2007
Jan. 30, 2007 |
|
|
Securities
Breach of Contract
Verdict:
$1,500,000
|
$1,500,000
|
Bruce Wiegand v. Wachovia S... |
Apr. 14, 2007
Dec. 28, 2006 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Michael Szymanski and Beth ... |
Apr. 14, 2007
Jan. 19, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
Young Soo So v. Shin Han Gl... |
Mar. 31, 2007
Feb. 6, 2007 |
|
|
Securities
Negligence
Verdict:
$65,000,000
|
$65,000,000
|
In re: AXA Rosenberg Invest... |
Jun. 2, 2012
Nov. 2, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$253,843
|
$253,843
|
Amnon Kawa, Amva Holdings, ... |
Sep. 4, 2010
Aug. 4, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$271,250
|
$271,250
|
Dennis M. Nigro, The Dennis... |
Mar. 31, 2007
Feb. 16, 2007 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mari F. Palash and Andrea L... |
Mar. 31, 2007
Feb. 22, 2007 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Jeffrey Harris and Mary And... |
Mar. 31, 2007
Feb. 2, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Glenna L. Maguire, individu... |
Nov. 19, 2011
Nov. 2, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Alfred L. Davenport Jr., in... |
Sep. 4, 2010
Aug. 7, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$17,400,000
|
$17,400,000
|
People of the State of Cali... |
Apr. 5, 2014
Feb. 25, 2014 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Defense |
In Re Immersion Corporation... |
Feb. 4, 2012
Dec. 16, 2011 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement |
Scott Blair v. UBS Financia... |
May 21, 2016
Apr. 18, 2016 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Douglas Anthony Bott v. UBS... |
Feb. 2, 2013
Jan. 14, 2013 |
|
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Equitable Agreement |
In re Sequenom, Inc. Deriva... |
Sep. 25, 2010
Jul. 26, 2010 |
|
|
Securities
Breach of Promissory Note
Verdict:
$531,783
|
$531,783
|
Morgan Stanley Smith Barney... |
Feb. 2, 2013
Jan. 17, 2013 |
|
|
Securities
Breach of Duty
Verdict:
$76,040
|
$76,040
|
James Coffey v. GunnAllen F... |
Feb. 23, 2013
Feb. 6, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$60,000
|
$60,000
|
Securities and Exchange Com... |
Feb. 23, 2013
Feb. 6, 2013 |