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57085 Rulings

Topic Case Name Published / Result

Securities

Securities
Expungement
Aaron A. DelSignore v. UBS ... Feb. 2, 2018
    Dec. 28, 2017
Securities
Violation of the Protocol for Broker Recruiting
Southwest Securities Inc. n... Oct. 6, 2017
    Aug. 10, 2017
Securities
Securities Fraud
Verdict: $147,019
Donald Adams, Eleanor M. Re... Oct. 6, 2017
    Aug. 15, 2017
Securities
Securities Exchange Act
Sofia Zoumboulakis v. Richa... Nov. 3, 2017
    Sep. 22, 2017
Securities
Breach of Fiduciary Duty
Mary C. Lee v. AXA Advisors... Feb. 2, 2018
    Dec. 4, 2017
Securities
Expungement
Victoria Lynn Mueller v. Ch... Feb. 2, 2018
    Nov. 21, 2017
Securities
Securities Fraud
William J. Roberts v. TD Am... Feb. 2, 2018
    Dec. 1, 2017
Securities
Breach of Fiduciary Duty
Verdict: $663,898
Shawn Scheuer v. Steven Phi... Feb. 9, 2018
    Dec. 20, 2017
Securities
Fraud and Gross Negligence
E. Thomas Clark Jr., aka El... Nov. 10, 2017
    Sep. 11, 2017
Securities
Breach of Fiduciary Duty
Sujata Vyas v. First Affili... Nov. 10, 2017
    Sep. 9, 2017
Securities
Expungement
Xi Chen v. UBS Financial Se... Nov. 10, 2017
    Sep. 12, 2017
Securities
Breach of Fiduciary Duty
Jacqueline Peters v. Morgan... Nov. 10, 2017
    Oct. 10, 2017
Securities
Defamation
Verdict: $400,000
Michael William Sexton v. B... Feb. 9, 2018
    Dec. 28, 2017
Securities
Negligence
David W. Appel Jr., Gimme S... Jan. 26, 2018
    Jan. 2, 2018
Securities
Expungement
Jon Ronald Springer v. Cete... Feb. 2, 2018
    Dec. 18, 2017
Securities
Securities Fraud
David Robert Bennette v. We... Jan. 26, 2018
    Dec. 18, 2017
Securities
Expungement
Richard Brian French v. Mo... Jan. 26, 2018
    Dec. 11, 2017
Securities
Breach of Contract
Cyrus Tabaz v. Unionbanc In... Feb. 9, 2018
    Nov. 28, 2017
Securities
Breach of Duty
Verdict: $9,400
Martin Feins, Trustee of th... Dec. 8, 2017
    Nov. 7, 2017
Securities
FINRA Rules
Christopher Alan Clark v. L... Feb. 9, 2018
    Dec. 16, 2017
Securities
Unsuitability
Dwight Jay Hansen IRA, Dwig... Feb. 2, 2018
    Dec. 19, 2017
Securities
Expungement
Mark Robert Fasano, UBS Fin... Nov. 10, 2017
    Oct. 11, 2017
Securities
Fraud and Deceit
Richard Long v. Ruben Cavad... Feb. 2, 2018
    Dec. 29, 2017
Securities
Breach of Fiduciary Duty
Ray Pollard, successor Trus... Nov. 10, 2017
    Sep. 21, 2017
Securities
Breach of Fiduciary Duty
Myron Allen, individually, ... Nov. 10, 2017
    Oct. 5, 2017
Securities
Intentional and Negligent Misrepresentation/Concealment
Wan Yu Luo v. Ameriprise Fi... Nov. 10, 2017
    Sep. 18, 2017
Securities
Breach of Fiduciary Duty
Susan Coghlan, Hugh Cotter ... Nov. 10, 2017
    Sep. 25, 2017
Securities
Breach of Fiduciary Duty
Verdict: $1,176,000
Michael Gerard Rom v. Phili... Feb. 2, 2018
    Nov. 22, 2017
Securities
Breach of Fiduciary Duty
Verdict: $2,157,243
Donna Gambee v. David Lloyd... Feb. 2, 2018
    Jan. 5, 2018
Securities
Securities Exchange Act
Verdict: $29,500,000
Babak Hatamian, Lussu Dennj... Nov. 24, 2017
    Oct. 25, 2017