57085 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Howard Snyder, Karen Snyder... |
Dec. 22, 2012
Nov. 16, 2012 |
|
Securities
Breach of Contract
Verdict:
$63,655,200
|
$63,655,200
|
Rosen Capital Partners LP, ... |
Sep. 24, 2011
Jun. 30, 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
Securities Fraud
Verdict:
$9,000,000
|
$9,000,000
|
In re Vocera Communications... |
Apr. 9, 2016
Mar. 4, 2016 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Mathew Zuckerman, Intermoun... |
Sep. 3, 2011
Mar. 30, 2011 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Standard Credit Securities ... |
Mar. 8, 2014
Feb. 12, 2014 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mariam Nigohosian v. Charie... |
Mar. 8, 2014
Feb. 11, 2014 |
|
Securities
Securities Fraud
Verdict:
$831,860
|
$831,860
|
Robert E. Lee, individually... |
Nov. 5, 2011
Jul. 29, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
R. Kent Emigh, individually... |
Aug. 27, 2011
Aug. 2, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$49,976
|
$49,976
|
Judith A. Malone v. Fidelit... |
Nov. 5, 2011
Jul. 30, 2011 |
|
Securities
Securities Fraud
Verdict:
$5,711,720
|
$5,711,720
|
Susan Alling, et al. v. Pac... |
Apr. 20, 2013
Apr. 5, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,218,220
|
$1,218,220
|
Narramore Christian Foundat... |
Mar. 24, 2007
Nov. 27, 2006 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Denial |
Cynthia L. Stirling, Cynthi... |
Dec. 17, 2011
Nov. 23, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Robert R. Banks, Robert R. ... |
Oct. 22, 2011
Jul. 22, 2011 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
John S. Surinchak and Linda... |
Jan. 27, 2007
Nov. 3, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$437,626
|
$437,626
|
Manuel Bernal, Jean Bernal,... |
Oct. 22, 2011
Jul. 25, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Cindy Bridges-Ross v. Morga... |
Dec. 17, 2011
Nov. 15, 2011 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Department of Enforcement v... |
Mar. 23, 2013
Feb. 21, 2013 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Denial |
Robert Stafford Sr., Cynthi... |
Dec. 17, 2011
Nov. 16, 2011 |
|
Securities
Securities Fraud
Verdict:
$2,300,000
|
$2,300,000
|
Washington Umberto Cinel v.... |
Jul. 28, 2012
Jun. 19, 2012 |
|
Securities
Violation of the Securities Act
Verdict:
$5,000,000
|
$5,000,000
|
Panther Partners Inc. v. Ik... |
Apr. 27, 2013
Mar. 25, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Bobby Dean Taylor v. Banc o... |
Apr. 1, 2006
Nov. 23, 2005 |
|
Securities
Breach of Contract
Verdict:
$119,990,000
|
$119,990,000
|
Real Estate Capital Managem... |
Jun. 14, 2008
Apr. 14, 2008 |
|
Securities
NASD
Verdict:
$1,560,000
|
$1,560,000
|
Lance R. Freed, Judith Fish... |
Nov. 11, 2006
Jan. 25, 2006 |
|
Securities
Breach of Contract
Verdict:
$254,700
|
$254,700
|
Carol Marini v. Marcelle Lo... |
Aug. 4, 2012
Jun. 25, 2012 |
|
Securities
Fraud
Verdict:
$170,870,000
|
$170,870,000
|
Claghorn, et al. v. Edsaco,... |
Jun. 8, 2002
Apr. 16, 2002 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Edward Jones v. John C. Lin... |
Aug. 10, 2013
Jul. 29, 2013 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Injunction |
Securities and Exchange Com... |
Apr. 9, 2016
Mar. 1, 2016 |
|
Securities
NASD
Verdict:
$76,600
|
$76,600
|
James S. Dickerson on behal... |
Oct. 28, 2006
Jan. 26, 2006 |