57085 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Matthew T. Leone v. Merrill... |
Mar. 20, 2020
Nov. 27, 2019 |
|
|
Securities
Expungement |
Expungement | Isidro Z. Miramontes v. Mor... |
Mar. 20, 2020
Nov. 25, 2019 |
|
|
Securities
Expungement |
Expungement | Allen Frances Schreiber v. ... |
Mar. 20, 2020
Dec. 24, 2019 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | John R. Winans v. Centaurus... |
Mar. 20, 2020
Nov. 29, 2019 |
|
|
Securities
Expungement |
Expungement | Terrance W. Arges v. LPL Fi... |
Mar. 20, 2020
Nov. 21, 2019 |
|
|
Securities
Expungement |
Expungement | Brent Stanley Pine v. Voya ... |
Apr. 10, 2020
Feb. 14, 2020 |
|
|
Securities
|
Respondent | Steven Moreno v. Merrill Ly... |
Apr. 17, 2020
Feb. 4, 2020 |
|
|
Securities
Verdict:
$5,750,000
|
$5,750,000
|
People of the State of Cali... |
Mar. 12, 2021
Feb. 12, 2021 |
|
|
Securities
Expungement |
Expungement | Kent Douglas Kuhlmann v. LP... |
Mar. 20, 2020
Nov. 26, 2019 |
|
|
Securities
Expungement |
Expungement | Demian Marc Fitzgerald v. B... |
Apr. 10, 2020
Feb. 13, 2020 |
|
|
Securities
Securities Exchange Act
Verdict:
$192,768
|
$192,768
|
Mark C. Scarsi | Securities and Exchange Com... |
Jan. 29, 2021
Nov. 24, 2020 |
|
Securities
Verdict:
$10,691,500
|
$10,691,500
|
Cormac J. Carney | Securities and Exchange Com... |
Apr. 16, 2021
Jan. 20, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$100,000,000
|
$100,000,000
|
Michael W. Fitzgerald | Matt Karinski, individually... |
May 20, 2022
Jan. 24, 2022 |
|
Securities
Derivative Suit |
Dismissal | Charles R. Breyer | Jean E. Henry, Individually... |
Apr. 3, 2020
Jan. 21, 2020 |
|
Securities
Breach of Fiduciary Duty |
Dismissal | Timothy Katen, Elizabeth Ka... |
Jan. 31, 2020
Nov. 18, 2019 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Randall B. Christison | Barbara Freeman v. J.P. Mor... |
Feb. 1, 2019
Dec. 4, 2018 |
|
Securities
Expungement |
Claimant | George L. Tindall | Steven Craig Henningson v. ... |
Nov. 29, 2019
Oct. 8, 2019 |
|
Securities
Expungement |
Expungement | Louis Basil Windawi v. Amer... |
Mar. 20, 2020
Nov. 26, 2019 |
|
|
Securities
Expungement |
Expungement | Philip A. Tymon | Sonny Hamesh Gulati v. UBS ... |
Feb. 1, 2019
Dec. 3, 2018 |
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Jason Kenneth Diaz v. Golde... |
Mar. 6, 2020
Jan. 17, 2020 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Karl Austin Pettijohn v. UB... |
Nov. 12, 2016
Oct. 7, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$5,900,000
|
$5,900,000
|
John A. Houston | Securities and Exchange Com... |
Jan. 4, 2019
Nov. 16, 2018 |
|
Securities
Securities Exchange Act |
Defense | Edward M. Chen | Ronald Sgarlata, individual... |
Feb. 8, 2019
Dec. 13, 2018 |
|
Securities
Expungement |
Claimant | David Anthony Pickler v. UB... |
Feb. 14, 2020
Dec. 6, 2019 |
|
|
Securities
Securities Fraud |
Dismissal | Marc Kalish | Greg and Karla Biddle v. We... |
Dec. 21, 2018
Oct. 22, 2018 |
|
Securities
Securities Fraud
Verdict:
$813,808
|
$813,808
|
Philip S. Gutierrez | Securities and Exchange Com... |
Jan. 8, 2021
Nov. 19, 2020 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Frank Meyers, individually;... |
Jan. 11, 2019
Oct. 4, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$1,100,000
|
$1,100,000
|
Fernando M. Olguin | Arthur Kaye IRA FCC as Cust... |
Jan. 11, 2019
Dec. 10, 2018 |
|
Securities
Securities Exchange Act |
Expungement | Janice L. Sperow | John Coughlin v. Stifel, Ni... |
Jan. 11, 2019
Oct. 17, 2018 |
|
Securities
Securities Fraud
Verdict:
$1,500,000
|
$1,500,000
|
Edward J. Davila | In Re Kalobios Pharmaceutic... |
Jan. 11, 2019
Mar. 21, 2018 |