57085 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Claimant | Mary M. Bush | Garret Ray Morgan v. Securi... |
Dec. 27, 2019
Oct. 9, 2019 |
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Travis Jerome Hughes v. AXA... |
Feb. 1, 2019
Nov. 28, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$11,900,000
|
$11,900,000
|
Claudia Wilken | Bradley Cooper, individuall... |
Mar. 22, 2019
Feb. 1, 2019 |
|
Securities
Breach of Contract
Verdict:
$385,000
|
$385,000
|
Paul E. Dahlman | Philip Harper and Amanda Ha... |
Mar. 1, 2019
Jan. 3, 2019 |
|
Securities
|
Alden S. Adkins | Lionel Albert Shaw v. Summi... |
Jan. 25, 2019
Dec. 7, 2018 |
|
|
Securities
Securities Fraud
Verdict:
$5,498,941
|
$5,498,941
|
John W. Holcomb | Securities and Exchange Com... |
Jun. 18, 2021
May 20, 2021 |
|
Securities
Breach of Fiduciary Duty |
Dismissal | Timothy Katen, Elizabeth Ka... |
Jan. 31, 2020
Nov. 18, 2019 |
|
|
Securities
NASD
Verdict:
$82,750
|
$82,750
|
J. Jeffrey Donnell v. Citig... |
Dec. 23, 2006
Apr. 11, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$5,676
|
$5,676
|
Andrew Y. Wasa, Henry J. Fe... |
Nov. 27, 2010
Nov. 2, 2010 |
|
|
Securities
Derivative Suit
Verdict:
$33,200,000
|
$33,200,000
|
In re: KLA-Tencor Corp., Sh... |
May 1, 2010
Mar. 16, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Dendreon Corporation ... |
May 30, 2013
Apr. 24, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Alpert, et. al. v. Stewart ... |
Oct. 26, 2013
Oct. 8, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$7,924,240
|
$7,924,240
|
Securities and Exchange Com... |
May 25, 2013
Apr. 26, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,375,000
|
$1,375,000
|
Beth L. Freeman | In re: Dropbox Inc. Securit... |
Mar. 3, 2023
Dec. 8, 2021 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
David Parri v. Wells Fargo ... |
Jan. 15, 2011
Dec. 15, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$54,105,600
|
$54,105,600
|
Gerald D. Hosier, individua... |
Jun. 25, 2011
Apr. 18, 2011 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Wells Fargo Advisors, LLC v... |
Jan. 18, 2014
Dec. 23, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$399,309
|
$399,309
|
Wells Fargo Advisors LLC, f... |
Nov. 17, 2012
Oct. 12, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$6,250,000
|
$6,250,000
|
In re: Geron Corporation Se... |
Apr. 1, 2017
Mar. 3, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Joan A. Lane v. Capwest Sec... |
Jan. 21, 2012
Oct. 11, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Sterling N. Frost | Warren Beck v. Citigroup Gl... |
Jul. 1, 2006
Sep. 19, 2005 |
|
Securities
Negligence
Verdict:
$25,000
|
$25,000
|
Steve R. Fraser v. Wachovia... |
Mar. 12, 2011
Feb. 11, 2011 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Preliminary Injunction Granted |
Greenlight Capital LP et al... |
Mar. 9, 2013
Feb. 22, 2013 |
|
|
Securities
Fraud
Verdict:
$7,500,000
|
$7,500,000
|
People of the State of Cali... |
Nov. 29, 2008
Sep. 2, 2008 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Lisa Ann Detanna v. Wedbush... |
Aug. 23, 2014
Aug. 6, 2014 |
|
|
Securities
Securities Exchange Act |
Dismissal | M. James Lorenz | James Jiao and Samuel Nunez... |
Apr. 24, 2020
Feb. 28, 2020 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Pat Seidler v. Crown Capita... |
Oct. 4, 2014
Sep. 10, 2014 |
|
|
Securities
Violation of the Securities Act
Verdict:
$8,230,000
|
$8,230,000
|
Dave Lenartz, individually ... |
Feb. 1, 2014
Dec. 18, 2013 |
|
|
Securities
FINRA Rules |
Expungement | Michael Lancaster Garcia | Travis John Hudak v. H. Bec... |
Jan. 12, 2018
May 31, 2017 |
|
Securities
Expungement |
Expungement | Morris S. Getzels | Jeffrey Aaron Horn v. RBC C... |
Sep. 1, 2017
Jun. 1, 2017 |