57085 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
William Feinstein v. Merril... |
Dec. 9, 2006
Sep. 21, 2006 |
|
Securities
Securities Fraud
Verdict:
$10,000,000
|
$10,000,000
|
Carl Stork v. John Textor, ... |
Apr. 13, 2013
Nov. 29, 2012 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Clara M. Hickle v. Wells Fa... |
Jan. 19, 2013
Dec. 31, 2012 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Sheldon Bloch, Jacki Conoll... |
Apr. 13, 2013
Mar. 28, 2013 |
|
Securities
Breach of Promissory Note
Verdict:
$124,136
|
$124,136
|
Wachovia Securities LLC v. ... |
Jan. 8, 2011
Dec. 2, 2010 |
|
Securities
Securities Fraud
Verdict:
$26,500,000
|
$26,500,000
|
Securities and Exchange Com... |
Feb. 27, 2016
Feb. 1, 2016 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,137,920
|
$1,137,920
|
Karen Lamoreaux, Karen Lamo... |
Apr. 13, 2013
Mar. 27, 2013 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Liability only |
Securities and Exchange Com... |
Jul. 21, 2007
Mar. 7, 2007 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Equitable Settlement |
Damien Moore v. Charles Sch... |
May 26, 2012
Apr. 17, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Fred McKay, as Trustee for ... |
Mar. 21, 2015
Feb. 24, 2015 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In Re Vical Incorporated Se... |
May 9, 2015
Mar. 9, 2015 |
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Cement Masons & Plasterers ... |
Jul. 20, 2013
Jun. 12, 2013 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Seymour Berger and Barbara ... |
Sep. 21, 2013
Sep. 9, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Phyllis Mortimer v. Centaur... |
Jun. 17, 2006
Feb. 17, 2006 |
|
Securities
Employment
Verdict:
$4,286,120
|
$4,286,120
|
Michael Paul Farah v. Wedbu... |
Oct. 12, 2013
Sep. 25, 2013 |
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Expungement |
John A. Abom, Carole M. Abo... |
Dec. 29, 2012
Nov. 21, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement granted |
Joan L. Shapiro, as Trustee... |
Jul. 14, 2012
Jun. 8, 2012 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Michael Banayan v. Morgan S... |
Apr. 10, 2010
Mar. 12, 2010 |
|
Securities
Securities Fraud
Verdict:
$55,500
|
$55,500
|
Securities and Exchange Com... |
Oct. 25, 2014
Aug. 28, 2014 |
|
Securities
Securities Exchange Act
Verdict:
$7,700,000
|
$7,700,000
|
Construction Workers Pensio... |
Apr. 5, 2014
Mar. 17, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$20,000
|
$20,000
|
Richard Watts, Sally W. Wat... |
Sep. 17, 2011
Jun. 17, 2011 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Alan Fenster, A Professiona... |
Apr. 2, 2011
Mar. 12, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
Metal Finishing Association... |
Sep. 17, 2011
Jun. 9, 2011 |
|
Securities
Breach of Contract
Verdict:
$120,362
|
$120,362
|
Morgan Stanley Smith Barney... |
Sep. 24, 2011
May 3, 2011 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Verdict for respondent Morgan Stanley Smith Barney |
Oliver Schwarz v. Citigroup... |
Jul. 21, 2012
Jun. 4, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$200,000
|
$200,000
|
Robert W. Ralston, Susan B.... |
Sep. 24, 2011
Jul. 1, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,200,000
|
$1,200,000
|
Henry Kankowski, Patrice Ka... |
Sep. 24, 2011
Jul. 5, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claims Denied |
Ellen L. Brown v. Neuberger... |
Aug. 13, 2011
Jun. 9, 2011 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Royal Park Investments SA/N... |
Aug. 9, 2014
Jul. 14, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$177,792
|
$177,792
|
Karen E. Rey v. Wedbush Sec... |
May 7, 2011
Mar. 25, 2011 |