57065 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
|
Claimant | Al Zvinakis as Holder of FP... |
Jan. 3, 2020
Oct. 18, 2019 |
|
|
Securities
Violations of Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
In re Wonder Auto Technolog... |
Feb. 9, 2013
Jan. 15, 2013 |
|
|
Securities
Expungement |
Expungement Denied | Herbert A. Schwartz | Kevin Thomas Moran v. Ameri... |
Mar. 1, 2019
Jan. 9, 2019 |
|
Securities
Breach of Contract
Verdict:
$15,000
|
$15,000
Claimant |
Wells Fargo Clearing Servic... |
Aug. 7, 2020
Mar. 11, 2020 |
|
|
Securities
Securities Exchange Act |
Defense | Lucy H. Koh | Jacob McGovney, et al. v. A... |
Mar. 22, 2019
Feb. 5, 2019 |
|
Securities
Verdict:
$2,536
|
$2,536
|
Thomas B. Wilson v. Morgan ... |
Apr. 17, 2020
Feb. 7, 2020 |
|
|
Securities
Securities Exchange Act
Verdict:
$482,050
|
$482,050
|
Alicia G. Rosenberg | Securities and Exchange Com... |
May 20, 2022
Apr. 11, 2022 |
|
Securities
Securities Fraud
Verdict:
$7,500,000
|
$7,500,000
|
In the Matter of Qualcomm Inc. |
Apr. 2, 2016
Mar. 1, 2016 |
|
|
Securities
Expungement |
Tiffany L. Wright v. Goldma... |
Apr. 17, 2020
Feb. 4, 2020 |
||
|
Securities
Securities Exchange Act |
Dismissal | David O. Carter | R. Brian Terenzini, individ... |
Jul. 29, 2022
Jun. 9, 2022 |
|
Securities
Expungement |
Expungement | Michael Shawn Bakos v. Fide... |
Apr. 17, 2020
Feb. 3, 2020 |
|
|
Securities
Expungement |
Expungement | Elliott D. Finkel | David Hunt v. Merrill Lynch... |
Apr. 10, 2020
Feb. 24, 2020 |
|
Securities
Breach of Fiduciary Duty |
Expungement Denied | Thaddeus J. Tecza | Roger Scott Talman and Cath... |
Mar. 15, 2019
Jan. 21, 2019 |
|
Securities
Expungement |
Expungement | Thomas D. Reese | Richard M. Del Monte v. Sec... |
Mar. 1, 2019
Jan. 10, 2019 |
|
Securities
Breach of Fiduciary Duty |
Claimant | Paul D. Kuhn v. Jimmy D. Epley |
Aug. 7, 2020
Mar. 27, 2020 |
|
|
Securities
Securities Exchange Act |
Dismissal | William H. Alsup | Steven A. Mullen, Individua... |
Jan. 27, 2023
Aug. 31, 2022 |
|
Securities
Expungement |
Expungement | Mark William Lininger v. RB... |
Apr. 17, 2020
Feb. 4, 2020 |
|
|
Securities
Expungement |
Expungement | Michael John Tusing v. Deut... |
Apr. 17, 2020
Feb. 4, 2020 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Robert J. Neborsky v. Valle... |
May 24, 2014
Apr. 28, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$49,965
|
$49,965
|
Jesus G. Bernal | Securities and Exchange Com... |
Oct. 30, 2020
Sep. 3, 2020 |
|
Securities
Verdict:
$68,732
|
$68,732
|
Tanya Coffeen v. D.A. David... |
Mar. 6, 2020
Sep. 16, 2019 |
|
|
Securities
Expungement |
Claimant | Mark A. Law v. LPL Financia... |
Jan. 10, 2020
Nov. 4, 2019 |
|
|
Securities
|
Respondent | Mauricio Contreras Pallares... |
Aug. 7, 2020
May 13, 2020 |
|
|
Securities
Expungement |
Expungement | Mark A. Bilawsky | Anthony Claude Marcello III... |
Mar. 15, 2019
Jan. 19, 2019 |
|
Securities
Securities Exchange Act |
Dismissal | George H. Wu | In Re: Semiconductor Manufa... |
Dec. 23, 2022
Jun. 9, 2022 |
|
Securities
Securities Fraud |
Dismissal | Maxine M. Chesney | In re Wells Fargo & Company... |
Mar. 4, 2022
Feb. 7, 2022 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Mark Robert Fasano, UBS Fin... |
May 24, 2014
May 1, 2014 |
|
|
Securities
Securities Fraud |
Defense | Edward M. Chen | Mark Habelt, et al. v. iRhy... |
Oct. 7, 2022
Mar. 8, 2022 |
|
Securities
Breach of Promissory Note
Verdict:
$345,382
|
$345,382
Claimant |
Wells Fargo Advisors, LLC v... |
Jul. 17, 2020
Mar. 26, 2020 |
|
|
Securities
Securities Fraud
Verdict:
$1,500,000
|
$1,500,000
|
Edward J. Davila | In Re Kalobios Pharmaceutic... |
Jan. 11, 2019
Mar. 21, 2018 |