57373 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Violation of California Securities Law |
Expungement | Marc Kalish | Edith Seely, individually, ... |
Jan. 12, 2018
Jun. 21, 2017 |
Securities
Securities Fraud
Verdict:
$19,000,000
|
$19,000,000
|
Phyllis J. Hamilton | Viswanath V. Shankar, indiv... |
Mar. 2, 2018
Oct. 11, 2017 |
Securities
Fraud and Gross Negligence |
Respondent | Peter H. Daly | E. Thomas Clark Jr., aka El... |
Nov. 10, 2017
Sep. 11, 2017 |
Securities
Breach of Contract |
Respondent | Guenter S. Cohn | Catherine Grace Bruno v. UB... |
Jan. 12, 2018
Aug. 2, 2017 |
Securities
Employment
Verdict:
-$1
|
-$1
Counterclaim Denied |
U.S. Bancorp Investments In... |
Oct. 30, 2014
Oct. 7, 2014 |
|
Securities
Breach of Contract |
Respondent | George L. Tindall | Cyrus Tabaz v. Unionbanc In... |
Feb. 9, 2018
Nov. 28, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$2,157,243
|
$2,157,243
|
Janice L. Sperow | Donna Gambee v. David Lloyd... |
Feb. 2, 2018
Jan. 5, 2018 |
Securities
Breach of Fiduciary Duty |
Claimant | John Carter | Jacqueline Peters v. Morgan... |
Nov. 10, 2017
Oct. 10, 2017 |
Securities
Breach of Fiduciary Duty |
Respondent | Mark Kalish | Larry Haberkorn v. Wells Fa... |
Sep. 1, 2017
Jun. 22, 2017 |
Securities
Breach of Contract |
Expungement | Kirtley M. Thiesmeyer | Charles Schwab & Co. Inc. v... |
Jan. 12, 2018
Jun. 19, 2017 |
Securities
Securities Fraud
Verdict:
$60,000
|
$60,000
|
Herbert Liberman | Nigel Timms v. Morgan Stanl... |
Feb. 9, 2018
Jan. 2, 2018 |
Securities
Negligence |
Expungement | Walter S. Schwartz | Janet E. Russ, individually... |
Jan. 12, 2018
Jul. 26, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | Richard J. Stall Jr. | France Pollack, individuall... |
Oct. 6, 2017
Sep. 5, 2017 |
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Gregory Allen Headrick v. U... |
May 30, 2013
May 19, 2013 |
|
Securities
Unauthorized Transfer
Verdict:
$212,000
|
$212,000
|
Sally G. Williams | Hazel Kitzman, individually... |
Sep. 29, 2017
Sep. 8, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$3,100
|
$3,100
|
Raymond M. Kirtley | Jamar Evans v. E-Trade Secu... |
Oct. 6, 2017
Sep. 1, 2017 |
Securities
Expungement |
Expungement | Herbert Liberman | Alvin Sanders v. Ameriprise... |
Feb. 16, 2018
Dec. 6, 2017 |
Securities
Securities Fraud
Verdict:
$147,019
|
$147,019
|
Robert E. Jenks Jr. | Donald Adams, Eleanor M. Re... |
Oct. 6, 2017
Aug. 15, 2017 |
Securities
Fraud
Verdict:
$0
|
$0
|
Paul H. Alvarado | Kennilworth Partners v. Cri... |
Nov. 15, 2001
Oct. 10, 2001 |
Securities
FINRA Rules |
Expungement | Robert F. Saint-Aubin | Christopher Alan Clark v. L... |
Feb. 9, 2018
Dec. 16, 2017 |
Securities
Violation of the Protocol for Broker Recruiting |
Claimant | Evan A. Gould | Southwest Securities Inc. n... |
Oct. 6, 2017
Aug. 10, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$27,015
|
$27,015
|
Lynn H. Brahin | Samantha Skorija v. VSR Fin... |
Aug. 25, 2017
Jul. 12, 2017 |
Securities
Violation of California Securities Law |
Expungement | Howard R. Gaines | Rosemarie McBride v. Wells ... |
Aug. 25, 2017
Jun. 28, 2017 |
Securities
Employment |
Expungement | Jeffrey R. Jury | Kevin Brooks Kugley v. Meri... |
Oct. 6, 2017
Aug. 4, 2017 |
Securities
Financial Abuse of an Elder or Dependent Adult,
Verdict:
$160,000
|
$160,000
|
Philip A. Tymon | Jack Paich v. BluePrint Wea... |
Sep. 8, 2017
Jun. 15, 2017 |
Securities
Commodities
Verdict:
$624,000,000
|
$624,000,000
|
In re Countrywide Financial... |
Aug. 12, 2010
Jul. 31, 2010 |
|
Securities
Expungement |
Expungement | Martin M. Van Luven | Stephen Gerard Rossi Sr. v.... |
Dec. 15, 2017
Nov. 1, 2017 |
Securities
Breach of Duty
Verdict:
$9,400
|
$9,400
|
Robert J. Buchner | Martin Feins, Trustee of th... |
Dec. 8, 2017
Nov. 7, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$396,623
|
$396,623
|
Michael J. Harrison | Ryan Trottier, Executor of ... |
Sep. 1, 2017
May 24, 2017 |
Securities
Unfair Competition
Verdict:
$1,249,524
|
$1,249,524
|
Cheryl Marie Allain-Mee | Charles Schwab & Co. Inc. v... |
Dec. 15, 2017
Nov. 2, 2017 |