56938 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Negligent Misrepresentation |
Defense | Elliott Z. Seff | ABS Manager LLC v. Morgan S... |
Sep. 1, 2017
Jul. 25, 2017 |
Securities
CRD Records |
Expungement Denied | Herbert Liberman | Shareholders Service Group ... |
Aug. 25, 2017
Jul. 19, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | Herbert Liberman | Joan Haevernick v. Merrill ... |
Aug. 25, 2017
Jun. 28, 2017 |
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Cross-claims Denied |
Raymond James Financial Ser... |
Nov. 6, 2014
Oct. 8, 2014 |
|
Securities
Fraud and Deceit |
Respondents | Elliott D. Finkel | Richard Long v. Ruben Cavad... |
Feb. 2, 2018
Dec. 29, 2017 |
Securities
Breach of Contract
Verdict:
$506,497
|
$506,497
|
Wedbush Securities Inc. v. ... |
Nov. 6, 2014
Oct. 4, 2014 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert Rosen | Jason Hallmark v. John Davi... |
Aug. 25, 2017
Jul. 14, 2017 |
Securities
Expungement |
Expungement | Dean J. Dietrich | Michael Anthony Destro v. W... |
Jan. 5, 2018
Nov. 16, 2017 |
Securities
Unsuitability |
Dismissal | G.E. Craig Doupe | Dwight Jay Hansen IRA, Dwig... |
Feb. 2, 2018
Dec. 19, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$1,188,850
|
$1,188,850
|
Eugene Elliott, Shawn Ellio... |
Nov. 28, 2015
Oct. 20, 2015 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Gregory Allen Headrick v. U... |
May 30, 2013
May 19, 2013 |
|
Securities
Securities Fraud |
Defense | Roger T. Benitez | Craig M. Plumley, individua... |
Sep. 1, 2017
Jun. 20, 2017 |
Securities
Securities Fraud
Verdict:
$30,000,000
|
$30,000,000
|
Jon S. Tigar | In re: Splunk Inc. Securiti... |
Sep. 22, 2023
Feb. 7, 2023 |
Securities
Securities Exchange Act |
Defense | Beth L. Freeman | Neil Costanzo, individually... |
Dec. 23, 2022
Dec. 14, 2021 |
Securities
Securities Fraud
Verdict:
$24,000,000
|
$24,000,000
|
William H. Alsup | Julia Junge and Richard Jun... |
Oct. 21, 2022
Sep. 6, 2022 |
Securities
Securities Fraud
Verdict:
$33,000,000
|
$33,000,000
|
S. James Otero | Securities and Exchange Com... |
Dec. 28, 2018
Aug. 2, 2018 |
Securities
Securities Exchange Act
Verdict:
$17,500,000
|
$17,500,000
|
Vince G. Chhabria | Paul Hayden, et al. v. Port... |
Nov. 4, 2022
Sep. 19, 2022 |
Securities
Securities Exchange Act |
Dismissal | Edward M. Chen | Danielle Carr, individually... |
Dec. 23, 2022
Oct. 8, 2021 |
Securities
Securities Exchange Act
Verdict:
$12,750,000
|
$12,750,000
|
Marilyn L. Huff | Kevin Kendall, Individually... |
Dec. 23, 2021
Dec. 3, 2021 |
Securities
Securities Exchange Act |
Dismissal | Richard Seeborg | Thomas Jedrzejczyk, et al. ... |
Dec. 23, 2022
Jul. 5, 2022 |
Securities
Securities Exchange Act
Verdict:
$614,775
|
$614,775
|
In the Matter of Floyd Mayw... |
Dec. 28, 2018
Nov. 29, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$1,900,000
|
$1,900,000
|
Jeffrey S. White | Avi Yaron, individually and... |
Dec. 16, 2022
Nov. 5, 2021 |
Securities
Securities Fraud
Verdict:
$38,000,000
|
$38,000,000
|
In re Cadence Design System... |
Feb. 25, 2012
Nov. 15, 2011 |
|
Securities
Securities Fraud
Verdict:
$129,600,000
|
$129,600,000
|
National Credit Union Admin... |
Oct. 31, 2015
Sep. 15, 2015 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Bart Sullivan Inc., Bart Su... |
Mar. 22, 2014
Mar. 4, 2014 |
|
Securities
Securities Exchange Act |
Defense | Phyllis J. Hamilton | Reena Saintjermain, individ... |
Nov. 18, 2022
Feb. 14, 2022 |
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Bob Rogers, in his individu... |
Dec. 28, 2018
Sep. 26, 2018 |
Securities
Expungement |
Claimant | Robert D. Sussin | Lisa Ann Detanna v. Citigro... |
Nov. 29, 2019
Oct. 7, 2019 |
Securities
Verdict:
$7,300,000
|
$7,300,000
|
Barbara A. Meiers | Chanh Huynh, Michael Smith ... |
May 22, 2020
Nov. 6, 2019 |
Securities
Securities Exchange Act
Verdict:
$2,375,000
|
$2,375,000
|
Dana M. Sabraw | Scott Kuhne, individually a... |
Dec. 30, 2022
Sep. 30, 2022 |