56938 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Fraud
Verdict:
-$1
|
-$1
Third-Party Claim Denied |
Maximino Gutierrez v. Inves... |
Sep. 27, 2014
Sep. 5, 2014 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Permanent Injunction |
Securities and Exchange Com... |
Oct. 18, 2014
Jul. 25, 2014 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Stanley Levine, Charles Bri... |
Jun. 21, 2014
Jun. 11, 2013 |
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In Re ECOtality Inc. Securi... |
Oct. 25, 2014
Sep. 16, 2014 |
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Defense |
Life Receivables Ireland, L... |
May 5, 2012
May 4, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$177,792
|
$177,792
|
Karen E. Rey v. Wedbush Sec... |
May 7, 2011
Mar. 25, 2011 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Teresa Sue Harmon v. UBS Fi... |
Oct. 18, 2014
Oct. 1, 2014 |
|
Securities
Fraud
Verdict:
$10,500,000
|
$10,500,000
|
Securities and Exchange Com... |
Nov. 1, 2008
Jul. 1, 2008 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
In re JDS Uniphase Corp. Se... |
Mar. 8, 2008
Nov. 27, 2007 |
|
Securities
Breach of Contract
Verdict:
$1,000,000
|
$1,000,000
|
Larry Greg Fullmer v. Goldm... |
Dec. 6, 2008
Oct. 3, 2008 |
|
Securities
Breach of Promissory Note
Verdict:
$6,796,240
|
$6,796,240
|
Barclays Capital Inc. v. Ma... |
Nov. 1, 2014
Oct. 3, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissed with prejudice |
Alvin M. Kramer, TTEE, Susa... |
Jan. 17, 2009
Dec. 11, 2008 |
|
Securities
Stocks
Verdict:
$3,000,000
|
$3,000,000
|
In re Sturm, Ruger & Co. In... |
Jun. 30, 2012
May 31, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Wilson Humphries Jr., Carol... |
Nov. 1, 2014
Oct. 3, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Jack F. Immel, individually... |
Jan. 14, 2012
Dec. 17, 2011 |
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Defense |
Francis J. Bonanno, individ... |
Oct. 1, 2016
Sep. 2, 2016 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Ikho Kang, Unsoon K. Kang v... |
Dec. 6, 2008
Oct. 17, 2008 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Kevin T. Knox, Noe Barocio,... |
Jun. 11, 2016
May 10, 2016 |
|
Securities
Breach of Promissory Note
Verdict:
$162,393
|
$162,393
|
Morgan Stanley Smith Barney... |
Jan. 19, 2013
Dec. 26, 2012 |
|
Securities
Negligence
Verdict:
$128,000
|
$128,000
|
Ashok Rao v. Ivan Dario Ang... |
Oct. 11, 2014
Sep. 22, 2014 |
|
Securities
Negligent Supervision
Verdict:
$1,740,000
|
$1,740,000
|
Wendling v. Merrill Lynch |
Dec. 16, 2003
Oct. 6, 2003 |
|
Securities
Violations of Exchange Act
Verdict:
$151,480
|
$151,480
|
Securities and Exchange Com... |
Apr. 19, 2014
Mar. 31, 2014 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Arnold Kreek, individually ... |
Apr. 23, 2011
Jan. 14, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Norbert E. Simpson, Darleen... |
Jan. 7, 2012
Dec. 14, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kenneth A. Schilling, Lesle... |
Jun. 21, 2014
Jun. 3, 2014 |
|
Securities
Securities Fraud
Verdict:
$3,768,330
|
$3,768,330
|
Robert Stanger v. China Ele... |
Jun. 22, 2013
Jun. 3, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Mitchell E. Kauffman v. Deb... |
Jan. 14, 2012
Dec. 13, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Jerry Mote v. First Allied ... |
Oct. 4, 2008
Jul. 15, 2008 |
|
Securities
Stocks
Verdict:
$9,500,000
|
$9,500,000
|
In Re McKesson HBOC Inc. Se... |
Jan. 12, 2013
Nov. 28, 2012 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co., Inc. ... |
Jan. 12, 2013
Dec. 19, 2012 |