57085 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Commodities
Verdict:
-$1
|
-$1
Defense |
In Re Immersion Corporation... |
Feb. 4, 2012
Dec. 16, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles Liotta Trust dated ... |
Jul. 12, 2014
Jun. 24, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$17,361
|
$17,361
|
Wells Fargo Advisors LLC fo... |
Sep. 18, 2010
Aug. 22, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Permanent Injunction Granted |
Securities and Exchange Com... |
May 17, 2014
Oct. 1, 2013 |
|
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Respondent |
Aimai Knypstra, Ravi Knypst... |
May 10, 2014
Mar. 4, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
In Re: Focus Media Holdings... |
Feb. 18, 2012
Jan. 10, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
The Hextall Family Living T... |
Jul. 19, 2014
Jun. 26, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Ronald Eckerman and Carol J... |
Jul. 4, 2014
Jun. 13, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Rackable Systems Inc.... |
Sep. 25, 2010
Sep. 8, 2010 |
|
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Equitable Agreement |
In re Sequenom, Inc. Deriva... |
Sep. 25, 2010
Jul. 26, 2010 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Kline Enterprises Inc. v. S... |
Feb. 4, 2012
Jan. 6, 2012 |
|
|
Securities
Unfair Business Practices
Verdict:
-$1
|
-$1
Defense |
Overstock.com Inc., a Delaw... |
Feb. 11, 2012
Jan. 12, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Madhok Family Trust dated 1... |
Dec. 3, 2011
Nov. 10, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Claims Denied |
Weill Dai, Sehat Sutardja, ... |
Mar. 22, 2014
Mar. 4, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
In re Homestore.com Inc. |
Feb. 18, 2012
Feb. 24, 2011 |
|
|
Securities
Fraud
Verdict:
$3,150,680
|
$3,150,680
|
Richman Bay v. Roger A. Fea... |
Jan. 9, 2010
Sep. 1, 2009 |
|
|
Securities
Violation of the Securities Act
Verdict:
$2,700,000
|
$2,700,000
|
Jeff Feyko, individually an... |
May 10, 2014
Mar. 7, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Bricklayers and Trowel Trad... |
Feb. 11, 2012
Jan. 13, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kathleen Chen v. Morgan Sta... |
Mar. 31, 2007
Jan. 30, 2007 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Harvey Jasny v. Morgan Stan... |
Apr. 28, 2007
Jan. 24, 2007 |
|
|
Securities
Breach of Promissory Note
Verdict:
$355,782
|
$355,782
|
Morgan Stanley Smith Barney... |
Apr. 5, 2014
Mar. 14, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$60,000
|
$60,000
|
Securities and Exchange Com... |
Feb. 23, 2013
Feb. 6, 2013 |
|
|
Securities
Breach of Duty
Verdict:
$76,040
|
$76,040
|
James Coffey v. GunnAllen F... |
Feb. 23, 2013
Feb. 6, 2013 |
|
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
Ned B. Young | Amy Wellman and Harold Well... |
Feb. 18, 2006
Oct. 11, 2005 |
|
Securities
Breach of Duty
Verdict:
$1,653,970
|
$1,653,970
|
John Erickson v. Edwin Torres |
Nov. 10, 2007
Aug. 23, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Patricia A. Meyer, Robert H... |
Dec. 19, 2009
Oct. 31, 2009 |
|
|
Securities
Breach of Contract
Verdict:
$9,120,470
|
$9,120,470
|
ADKO Investors, LLC, et al.... |
Jan. 28, 2012
Jan. 13, 2012 |
|
|
Securities
Breach of Promissory Note
Verdict:
$401,364
|
$401,364
|
Morgan Stanley Smith Barney... |
Feb. 9, 2013
Jan. 29, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Feb. 9, 2013
Jan. 23, 2013 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Ronald Cey, Frances Cey, Gi... |
Jun. 11, 2016
Apr. 27, 2016 |