57085 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Negligence
Verdict:
-$1
|
-$1
Defense |
Joseph J. Bahuth, Angele Ba... |
Mar. 26, 2011
Feb. 18, 2011 |
|
|
Securities
Commodities
Verdict:
$37,000,000
|
$37,000,000
|
In re Tronox Inc. Securitie... |
Oct. 20, 2012
Aug. 29, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$75,000
|
$75,000
|
John W. Holcomb | Securities and Exchange Com... |
Feb. 23, 2024
Apr. 13, 2023 |
|
Securities
Breach of Duty
Verdict:
$800,000
|
$800,000
|
Allen Paulson Living Trust ... |
Jun. 20, 2009
Feb. 25, 2009 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc., ... |
Dec. 22, 2012
Nov. 16, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Brad A. Baggarly, SEP-IRA v... |
Jul. 2, 2011
May 9, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$6,250,000
|
$6,250,000
|
In Re State Street Bank and... |
Jun. 16, 2012
May 23, 2012 |
|
|
Securities
NASD
Verdict:
$82,750
|
$82,750
|
J. Jeffrey Donnell v. Citig... |
Dec. 23, 2006
Apr. 11, 2006 |
|
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Dendreon Corporation ... |
May 30, 2013
Apr. 24, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$54,105,600
|
$54,105,600
|
Gerald D. Hosier, individua... |
Jun. 25, 2011
Apr. 18, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$36,500,000
|
$36,500,000
|
Sunil R. Kulkarni | In re: Maxar Technologies, ... |
Feb. 16, 2024
Dec. 7, 2023 |
|
Securities
Securities Exchange Act |
Dismissal | Charles R. Breyer | In re: Eargo Inc. Securitie... |
Feb. 9, 2024
Oct. 12, 2023 |
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
The Heater Family Trust v. ... |
Jul. 14, 2012
Jun. 6, 2012 |
|
|
Securities
Breach of Promissory Note
Verdict:
$439,507
|
$439,507
|
Wells Fargo Advisors LLC f/... |
May 18, 2013
May 2, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$8,500,000
|
$8,500,000
|
John F. Walter | In re: Stable Road Acquisit... |
Feb. 9, 2024
Sep. 20, 2023 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Scripsamerica Inc. v. Ironr... |
Sep. 26, 2015
Aug. 11, 2015 |
|
|
Securities
Stocks
Verdict:
$3,750,000
|
$3,750,000
|
In re MBIA INC. Securities ... |
Oct. 27, 2012
Sep. 12, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
R. Carlton Seaver | Rene Garcia v. Morgan Stanl... |
May 6, 2006
Jan. 11, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Sterling N. Frost | Warren Beck v. Citigroup Gl... |
Jul. 1, 2006
Sep. 19, 2005 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Frank J. Fosbre Jr., indivi... |
Jan. 28, 2017
Jan. 3, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$925,000
|
$925,000
|
Filip Lambert, Jignesh Pate... |
May 27, 2017
Oct. 11, 2016 |
|
|
Securities
Securities Exchange Act
Verdict:
$2,500,000
|
$2,500,000
|
Jacqueline S. Corley | Tyler Hardy and Danny Roche... |
Jan. 12, 2024
Sep. 26, 2023 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
William Ayers v. James Clar... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
FINRA Rules |
Expungement | Michael Lancaster Garcia | Travis John Hudak v. H. Bec... |
Jan. 12, 2018
May 31, 2017 |
|
Securities
Expungement |
Expungement | Morris S. Getzels | Jeffrey Aaron Horn v. RBC C... |
Sep. 1, 2017
Jun. 1, 2017 |
|
Securities
Securities Fraud
Verdict:
$3,500,000
|
$3,500,000
|
Josephine L. Staton | Adam Gary LaFrano, and Adam... |
Feb. 9, 2024
Jul. 26, 2023 |
|
Securities
Breach of Fiduciary Duty |
Non-monetary relief | Susan Y. Illston | In re: Zuora Inc. Derivativ... |
Mar. 22, 2024
Sep. 15, 2023 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$601,500,000
|
$601,500,000
|
In re Countrywide Financial... |
Apr. 2, 2011
Mar. 4, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$45,000
|
$45,000
|
Jacqueline Picquelle v. Sco... |
Apr. 2, 2011
Mar. 15, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Netflix Inc., Securit... |
Mar. 2, 2013
Feb. 13, 2013 |