57085 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Expungement |
Expungement Denied | Michael John Florio | Aaron A. DelSignore v. UBS ... |
Feb. 2, 2018
Dec. 28, 2017 |
Securities
Violation of the Protocol for Broker Recruiting |
Claimant | Evan A. Gould | Southwest Securities Inc. n... |
Oct. 6, 2017
Aug. 10, 2017 |
Securities
Securities Fraud
Verdict:
$147,019
|
$147,019
|
Robert E. Jenks Jr. | Donald Adams, Eleanor M. Re... |
Oct. 6, 2017
Aug. 15, 2017 |
Securities
Securities Exchange Act |
Dismissal | Edward J. Davila | Sofia Zoumboulakis v. Richa... |
Nov. 3, 2017
Sep. 22, 2017 |
Securities
Breach of Fiduciary Duty |
Dismissal | Harry G. Mason | Mary C. Lee v. AXA Advisors... |
Feb. 2, 2018
Dec. 4, 2017 |
Securities
Expungement |
Expungement Denied | Edward Blumstein | Victoria Lynn Mueller v. Ch... |
Feb. 2, 2018
Nov. 21, 2017 |
Securities
Securities Fraud |
Respondent | Peter D. Steinbroner | William J. Roberts v. TD Am... |
Feb. 2, 2018
Dec. 1, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$663,898
|
$663,898
|
Philip A. Tymon | Shawn Scheuer v. Steven Phi... |
Feb. 9, 2018
Dec. 20, 2017 |
Securities
Fraud and Gross Negligence |
Respondent | Peter H. Daly | E. Thomas Clark Jr., aka El... |
Nov. 10, 2017
Sep. 11, 2017 |
Securities
Breach of Fiduciary Duty |
Dismissal | Mark R. Lee | Sujata Vyas v. First Affili... |
Nov. 10, 2017
Sep. 9, 2017 |
Securities
Expungement |
Respondent | Arocles Aguilar | Xi Chen v. UBS Financial Se... |
Nov. 10, 2017
Sep. 12, 2017 |
Securities
Breach of Fiduciary Duty |
Claimant | John Carter | Jacqueline Peters v. Morgan... |
Nov. 10, 2017
Oct. 10, 2017 |
Securities
Defamation
Verdict:
$400,000
|
$400,000
|
Arthur T. Berggren | Michael William Sexton v. B... |
Feb. 9, 2018
Dec. 28, 2017 |
Securities
Negligence |
Dismissal | David S. Billet | David W. Appel Jr., Gimme S... |
Jan. 26, 2018
Jan. 2, 2018 |
Securities
Expungement |
Expungement | Charles Michaels | Jon Ronald Springer v. Cete... |
Feb. 2, 2018
Dec. 18, 2017 |
Securities
Securities Fraud |
Respondent | Michael Lancaster Garcia | David Robert Bennette v. We... |
Jan. 26, 2018
Dec. 18, 2017 |
Securities
Expungement |
Expungement | Michael E. Rohde | Richard Brian French v. Mo... |
Jan. 26, 2018
Dec. 11, 2017 |
Securities
Breach of Contract |
Respondent | George L. Tindall | Cyrus Tabaz v. Unionbanc In... |
Feb. 9, 2018
Nov. 28, 2017 |
Securities
Breach of Duty
Verdict:
$9,400
|
$9,400
|
Robert J. Buchner | Martin Feins, Trustee of th... |
Dec. 8, 2017
Nov. 7, 2017 |
Securities
FINRA Rules |
Expungement | Robert F. Saint-Aubin | Christopher Alan Clark v. L... |
Feb. 9, 2018
Dec. 16, 2017 |
Securities
Unsuitability |
Dismissal | G.E. Craig Doupe | Dwight Jay Hansen IRA, Dwig... |
Feb. 2, 2018
Dec. 19, 2017 |
Securities
Expungement |
Expungement | David J. Anderson | Mark Robert Fasano, UBS Fin... |
Nov. 10, 2017
Oct. 11, 2017 |
Securities
Fraud and Deceit |
Respondents | Elliott D. Finkel | Richard Long v. Ruben Cavad... |
Feb. 2, 2018
Dec. 29, 2017 |
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Ray Pollard, successor Trus... |
Nov. 10, 2017
Sep. 21, 2017 |
Securities
Breach of Fiduciary Duty |
Respondent | Richard M. Norman | Myron Allen, individually, ... |
Nov. 10, 2017
Oct. 5, 2017 |
Securities
Intentional and Negligent Misrepresentation/Concealment |
Respondent | Kirtley M. Thiesmeyer | Wan Yu Luo v. Ameriprise Fi... |
Nov. 10, 2017
Sep. 18, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | Ralph L. Jacobson | Susan Coghlan, Hugh Cotter ... |
Nov. 10, 2017
Sep. 25, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$1,176,000
|
$1,176,000
|
Barbara M. Anscher | Michael Gerard Rom v. Phili... |
Feb. 2, 2018
Nov. 22, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$2,157,243
|
$2,157,243
|
Janice L. Sperow | Donna Gambee v. David Lloyd... |
Feb. 2, 2018
Jan. 5, 2018 |
Securities
Securities Exchange Act
Verdict:
$29,500,000
|
$29,500,000
|
Yvonne Gonzalez Rogers | Babak Hatamian, Lussu Dennj... |
Nov. 24, 2017
Oct. 25, 2017 |