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56938 Rulings

Topic Case Name Published / Result

Securities

Securities
Fraud
Verdict: -$1
Maximino Gutierrez v. Inves... Sep. 27, 2014
    Sep. 5, 2014
Securities
Securities Fraud
Verdict: -$1
Securities and Exchange Com... Oct. 18, 2014
    Jul. 25, 2014
Securities
Fraud
Verdict: -$1
Stanley Levine, Charles Bri... Jun. 21, 2014
    Jun. 11, 2013
Securities
Securities Exchange Act
Verdict: -$1
In Re ECOtality Inc. Securi... Oct. 25, 2014
    Sep. 16, 2014
Securities
Violations of Exchange Act
Verdict: -$1
Life Receivables Ireland, L... May 5, 2012
    May 4, 2011
Securities
Breach of Fiduciary Duty
Verdict: $177,792
Karen E. Rey v. Wedbush Sec... May 7, 2011
    Mar. 25, 2011
Securities
Expungement
Verdict: -$1
Teresa Sue Harmon v. UBS Fi... Oct. 18, 2014
    Oct. 1, 2014
Securities
Fraud
Verdict: $10,500,000
Securities and Exchange Com... Nov. 1, 2008
    Jul. 1, 2008
Securities
Fraud
Verdict: -$1
In re JDS Uniphase Corp. Se... Mar. 8, 2008
    Nov. 27, 2007
Securities
Breach of Contract
Verdict: $1,000,000
Larry Greg Fullmer v. Goldm... Dec. 6, 2008
    Oct. 3, 2008
Securities
Breach of Promissory Note
Verdict: $6,796,240
Barclays Capital Inc. v. Ma... Nov. 1, 2014
    Oct. 3, 2014
Securities
Breach of Fiduciary Duty
Verdict: -$1
Alvin M. Kramer, TTEE, Susa... Jan. 17, 2009
    Dec. 11, 2008
Securities
Stocks
Verdict: $3,000,000
In re Sturm, Ruger & Co. In... Jun. 30, 2012
    May 31, 2012
Securities
Breach of Fiduciary Duty
Verdict: -$1
Wilson Humphries Jr., Carol... Nov. 1, 2014
    Oct. 3, 2014
Securities
Breach of Fiduciary Duty
Verdict: -$1
Jack F. Immel, individually... Jan. 14, 2012
    Dec. 17, 2011
Securities
Securities Exchange Act
Verdict: -$1
Francis J. Bonanno, individ... Oct. 1, 2016
    Sep. 2, 2016
Securities
Fraud
Verdict: -$1
Ikho Kang, Unsoon K. Kang v... Dec. 6, 2008
    Oct. 17, 2008
Securities
Securities Fraud
Verdict: -$1
Kevin T. Knox, Noe Barocio,... Jun. 11, 2016
    May 10, 2016
Securities
Breach of Promissory Note
Verdict: $162,393
Morgan Stanley Smith Barney... Jan. 19, 2013
    Dec. 26, 2012
Securities
Negligence
Verdict: $128,000
Ashok Rao v. Ivan Dario Ang... Oct. 11, 2014
    Sep. 22, 2014
Securities
Negligent Supervision
Verdict: $1,740,000
Wendling v. Merrill Lynch Dec. 16, 2003
    Oct. 6, 2003
Securities
Violations of Exchange Act
Verdict: $151,480
Securities and Exchange Com... Apr. 19, 2014
    Mar. 31, 2014
Securities
Securities Fraud
Verdict: -$1
Arnold Kreek, individually ... Apr. 23, 2011
    Jan. 14, 2011
Securities
Breach of Fiduciary Duty
Verdict: -$1
Norbert E. Simpson, Darleen... Jan. 7, 2012
    Dec. 14, 2011
Securities
Breach of Fiduciary Duty
Verdict: -$1
Kenneth A. Schilling, Lesle... Jun. 21, 2014
    Jun. 3, 2014
Securities
Securities Fraud
Verdict: $3,768,330
Robert Stanger v. China Ele... Jun. 22, 2013
    Jun. 3, 2013
Securities
Breach of Fiduciary Duty
Verdict: -$1
Mitchell E. Kauffman v. Deb... Jan. 14, 2012
    Dec. 13, 2011
Securities
Breach of Fiduciary Duty
Verdict: -$1
Jerry Mote v. First Allied ... Oct. 4, 2008
    Jul. 15, 2008
Securities
Stocks
Verdict: $9,500,000
In Re McKesson HBOC Inc. Se... Jan. 12, 2013
    Nov. 28, 2012
Securities
Expungement
Verdict: -$1
Charles Schwab & Co., Inc. ... Jan. 12, 2013
    Dec. 19, 2012