56938 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Dendreon Corporation ... |
May 30, 2013
Apr. 24, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$401,364
|
$401,364
|
Morgan Stanley Smith Barney... |
Feb. 9, 2013
Jan. 29, 2013 |
|
|
Securities
Breach of Duty
Verdict:
$1,653,970
|
$1,653,970
|
John Erickson v. Edwin Torres |
Nov. 10, 2007
Aug. 23, 2007 |
|
|
Securities
Stocks
Verdict:
$3,750,000
|
$3,750,000
|
In re MBIA INC. Securities ... |
Oct. 27, 2012
Sep. 12, 2012 |
|
|
Securities
NASD
Verdict:
$67,040
|
$67,040
|
H & R Block Financial Advis... |
Oct. 28, 2006
Feb. 28, 2006 |
|
|
Securities
Securities Fraud
Verdict:
$2,400,000
|
$2,400,000
|
In the Matter of Wedbush Se... |
Feb. 14, 2015
Nov. 20, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ellen Gache and EBG Investm... |
Jul. 13, 2013
Jun. 27, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Stichting Pensioenfonds ABP... |
Sep. 1, 2012
Aug. 9, 2012 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Joseph R. Loprieato, Peggy ... |
May 24, 2014
Apr. 29, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Michael Pope, Maxine O. Pop... |
Jun. 29, 2013
Jun. 13, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondents |
UBS Financial Services Inc.... |
Jun. 29, 2013
Jun. 11, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Karl Townsend, Karen Fann T... |
Oct. 20, 2012
Sep. 25, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$190,000
|
$190,000
|
Robert M. Sapp Jr. v. ING F... |
Aug. 4, 2012
Jul. 10, 2012 |
|
|
Securities
Fraud
Verdict:
$0
|
$0
|
Robert Jones | Confidential |
Apr. 5, 1997
Jun. 12, 1995 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Massachusetts Mutual Life I... |
Sep. 1, 2012
Apr. 16, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Robert R. Banks, Robert R. ... |
Oct. 22, 2011
Jul. 22, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Cindy Bridges-Ross v. Morga... |
Dec. 17, 2011
Nov. 15, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Mathew Zuckerman, Intermoun... |
Sep. 3, 2011
Mar. 30, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
$57,000,000 (as of May 3, 2010) |
In re Sequenom, Inc. Securi... |
Sep. 4, 2010
Aug. 27, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$550,505
|
$550,505
|
The Selan Family Trust dd A... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Fred H. Guenther Jr. v. Cro... |
Aug. 17, 2013
Aug. 1, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
$4,000,000
|
$4,000,000
|
In re Constellation Energy ... |
Jun. 29, 2013
May 8, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$14,171
|
$14,171
|
Poppie Phillips, individual... |
Jan. 15, 2011
Dec. 8, 2010 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Equitable Settlement |
New Frontier Media Inc. v. ... |
Sep. 8, 2012
Jul. 12, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Third Party claim/counterclaim denied |
Alejandro M. Arredondo, Eli... |
Dec. 13, 2014
Nov. 19, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$5,088,400
|
$5,088,400
|
Harwich East Plaza LLC v. V... |
Jun. 15, 2013
Jun. 4, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Larry B. Feinberg, Juliet C... |
Sep. 7, 2013
Aug. 21, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ronald L. Pelley v. Charles... |
Feb. 20, 2010
Jan. 21, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
United Micronesia Developme... |
Jul. 13, 2013
Jun. 26, 2013 |
|
|
Securities
Negligence
Verdict:
$18,500
|
$18,500
|
Jeanne Johnson v. UBS Finan... |
Jan. 29, 2011
Dec. 28, 2010 |