56938 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Promissory Note
Verdict:
$533,535
|
$533,535
|
Wells Fargo Investments, LL... |
Jul. 31, 2010
Jun. 22, 2010 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Kenneth A. Kinko | Gerald Montiel v. Newbridge... |
Dec. 9, 2006
Aug. 3, 2006 |
|
Securities
Breach of Contract
Verdict:
$90,474
|
$90,474
|
Charles Schwab & Co., Inc. ... |
Apr. 14, 2007
Jul. 28, 2006 |
|
|
Securities
Securities Fraud
Verdict:
$38,000,000
|
$38,000,000
|
In re Questcor Pharmaceutic... |
Jul. 11, 2015
May 27, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$6,215
|
$6,215
|
Vincent R. and Tracie D. He... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Michael Shinkle v. Oak Tree... |
Dec. 9, 2006
Aug. 22, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
$675,000 for respondent/cross-complainant Ina; $200,000 for respondent/cross-complainant Morilak; $733,000 for respondent/cross-complainant Parziale |
Banc of America Investment ... |
Jun. 9, 2007
Sep. 27, 2006 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
John T. Hall, James Kaczmar... |
Dec. 7, 2013
Nov. 14, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Pension Trust Fund for Oper... |
Nov. 9, 2013
Sep. 25, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Equitable Settlement |
Onyx Pharmaceuticals v. Bay... |
Jun. 16, 2012
Oct. 12, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Barnard Lewis Family Trust ... |
Jun. 30, 2012
May 29, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Judy Durgin, Derivatively o... |
Feb. 11, 2017
Jan. 10, 2017 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ronald L. Gershon | Patrick J. Schachle v. Merr... |
Dec. 9, 2006
Aug. 15, 2006 |
|
Securities
Fraud
Verdict:
$338,000
|
$338,000
|
Rose Kramer, Stanley Kramer... |
Jun. 16, 2012
May 25, 2012 |
|
|
Securities
Employment
Verdict:
$61,100
|
$61,100
|
Daniel Becerra v. Oppenheim... |
Aug. 2, 2014
Jul. 2, 2014 |
|
|
Securities
Falsification of Records
Verdict:
-$1
|
-$1
Mixed Result |
Department of Market Regula... |
Jul. 9, 2016
Apr. 4, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$150,000
|
$150,000
|
Securities and Exchange Com... |
Aug. 14, 2010
Jan. 24, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
M. C. Otis, individually an... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Oracle Corporation Se... |
Jan. 23, 2010
Jun. 16, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$750,000
|
$750,000
|
Stanley G. Kazezski, Lillia... |
Jun. 18, 2011
May 5, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Royal Park Investments SA/N... |
Aug. 9, 2014
Jul. 14, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$1,523,840
|
$1,523,840
|
Securities and Exchange Com... |
Apr. 23, 2011
Aug. 17, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Christopher Gaertner, Jacqu... |
Dec. 28, 2013
Nov. 22, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Countrywide Financial... |
Sep. 14, 2013
Aug. 26, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Corinne DeGiorgio Fond v. M... |
Jun. 27, 2015
Apr. 27, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Letitia McKee Cooper, Coope... |
Feb. 4, 2017
Nov. 15, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Move Inc. v. Citigroup Glob... |
May 23, 2015
Sep. 22, 2014 |
|
|
Securities
NASD
Verdict:
$375
|
$375
|
Brian Barsky v. Wells Fargo... |
Dec. 23, 2006
Oct. 13, 2006 |
|
|
Securities
NASD
Verdict:
$179,840
|
$179,840
|
Robert M. Lubin | Lawrence Marcus v. Trautman... |
Dec. 2, 2006
Sep. 30, 2006 |
|
Securities
Commodities
Verdict:
$7,000,000
|
$7,000,000
|
Plumbers and Pipefitters Lo... |
Sep. 8, 2012
Nov. 14, 2011 |