57085 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
$170,376
|
$170,376
|
Roger Verhage | Confidential |
Jan. 11, 1997
Dec. 5, 1996 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$487,336
|
$487,336
|
Margaret Farwell Smith, ind... |
Sep. 5, 2015
May 26, 2015 |
|
|
Securities
Breach of Contract
Verdict:
$3,262,300
|
$3,262,300
|
Stephen A. Whittington, et ... |
Jan. 24, 2009
Nov. 3, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$619,083
|
$619,083
|
Pooroushasb Parineh and Par... |
Mar. 3, 2012
Feb. 9, 2012 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. a... |
Nov. 10, 2012
Oct. 19, 2012 |
|
|
Securities
Fraud Class Action
Verdict:
$88,000,000
|
$88,000,000
|
Helen Frye | In Re Melridge Securities L... |
Jun. 29, 1993
May 26, 1993 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Brent R. Allan, Deborah B. ... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
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
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Jeffrey Franklin, Moose Pro... |
Apr. 27, 2013
Apr. 10, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Helen M. Peters, Administra... |
Sep. 12, 2015
May 29, 2015 |
|
|
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:
$176,500
|
$176,500
|
Sean Berton v. Cornerstone ... |
Sep. 5, 2015
Jun. 8, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
John Kari Agamalian, John K... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Daniel L. Cohen, Daniel L. ... |
Sep. 13, 2014
Aug. 19, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Saadeh Corporation v. Merri... |
May 12, 2012
Oct. 4, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Securities and Exchange Com... |
Nov. 6, 2010
Jan. 5, 2010 |
|
|
Securities
Fraud
Verdict:
$73,150,000
|
$73,150,000
|
Securities and Exchange Com... |
Nov. 6, 2010
Oct. 16, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$35,750,000
|
$35,750,000
|
In re STEC Inc. Securities ... |
Mar. 23, 2013
Mar. 5, 2013 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Respondent |
Charles Schwab & Co. Inc. v... |
Sep. 20, 2014
Aug. 25, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,359
|
$1,359
|
WT Acquisition LLC v. E*Tra... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$2,490,270
|
$2,490,270
|
Morgan Keegan & Company Inc... |
Aug. 23, 2014
Aug. 1, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Linden Pasadena Properties,... |
Dec. 31, 2010
Dec. 2, 2010 |
|
|
Securities
Breach of Promissory Note
Verdict:
$124,136
|
$124,136
|
Wachovia Securities LLC v. ... |
Jan. 8, 2011
Dec. 2, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Diegel Family Living Trust ... |
Aug. 16, 2014
Jul. 28, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Dr. Byron Crawford v. Rober... |
Aug. 16, 2014
Jul. 24, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Dorothy Wade, on Behalf of ... |
Oct. 16, 2010
Sep. 28, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Floyd Matheney IRA, Mary Ma... |
May 4, 2013
Apr. 12, 2013 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Defense |
Arthur Lopez v. MUFG Union ... |
Apr. 23, 2016
Mar. 30, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Glen D. Robertson, Susan L.... |
Mar. 12, 2011
Feb. 17, 2011 |