56938 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,000
|
$80,000
|
Daniel Hurley v. Northeast ... |
Jan. 17, 2009
Dec. 2, 2008 |
|
|
Securities
Fraud
Verdict:
$751,000
|
$751,000
|
Dzintra Janavs | Richard Crowther v. Richard... |
Oct. 31, 1998
Jul. 31, 1998 |
|
Securities
Securities Fraud
Verdict:
$8,500,000
|
$8,500,000
|
Joe M. Wiley, individually ... |
Jul. 25, 2015
Jun. 22, 2015 |
|
|
Securities
Breach of Contract
Verdict:
$361,017
|
$361,017
|
Lehman Brothers Holdings In... |
Nov. 3, 2012
Sep. 28, 2012 |
|
|
Securities
Stocks
Verdict:
$7,686,500
|
$7,686,500
|
In Re Pacific Biosciences o... |
Aug. 3, 2013
Jun. 3, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$14,900,000
|
$14,900,000
|
In Re Hot Topic Inc. Securi... |
Jul. 25, 2015
Jun. 30, 2015 |
|
|
Securities
Violation of the Securities Act
Verdict:
$6,500,000
|
$6,500,000
|
Tommy Jay Carter v. Affymax... |
Sep. 20, 2014
Aug. 28, 2014 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Bob T. Hall and Mariah G. H... |
Nov. 18, 2006
Sep. 25, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
HSH Family Trust U/A Dated ... |
Sep. 12, 2015
May 22, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
For Respondent |
The William Dale Kelly and ... |
Jun. 23, 2012
Sep. 29, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Mixed |
Anthony and Debra Hanna, in... |
May 12, 2012
Oct. 13, 2011 |
|
|
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:
-$1
|
-$1
Expungement |
David N. Harvey and Sharon ... |
May 7, 2011
Apr. 13, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Pension Trust Fund for Oper... |
Nov. 9, 2013
Sep. 25, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Helen M. Peters, Administra... |
Sep. 12, 2015
May 29, 2015 |
|
|
Securities
Fraud
Verdict:
$3,800,000
|
$3,800,000
|
In re: InfoSonics Corporati... |
Jan. 10, 2009
Oct. 17, 2008 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Susan Pasillo and Mark Pasi... |
Nov. 30, 2013
Nov. 15, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondents liable |
Ronald W. May, Kathryn R. C... |
Jan. 3, 2009
Nov. 20, 2008 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Andrew Charles Gall v. UBS ... |
May 23, 2015
Mar. 13, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$138,200
|
$138,200
|
Sterling Casualty Insurance... |
Jan. 24, 2009
Dec. 19, 2008 |
|
|
Securities
NASD
Verdict:
$1,250,000
|
$1,250,000
|
Shari Nolan v. Phillip D. H... |
Dec. 2, 2006
Jul. 18, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement Granted |
King Credit Shelter Trust, ... |
Mar. 26, 2011
Feb. 18, 2011 |
|
|
Securities
Fraud
Verdict:
$690,000
|
$690,000
|
David A. Thompson | Roland Graves, Hermann Hege... |
Nov. 19, 2005
Feb. 4, 2005 |
|
Securities
Tort
Verdict:
$0
|
$0
|
William F. Highberger | Robert Solomon v. U.S. Trus... |
Apr. 8, 2003
Oct. 25, 2002 |
|
Securities
Negligence
Verdict:
$442,072
|
$442,072
|
Snow E. Jaynes, individuall... |
Sep. 14, 2013
Aug. 30, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$70,000
|
$70,000
|
Carole A. Lane v. Louis B. ... |
Sep. 13, 2008
May 4, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claims dismissed with prejudice |
The Thomas P. Matula Living... |
Sep. 13, 2008
Mar. 11, 2008 |
|
|
Securities
Misrepresentation and Fraud
Verdict:
$0
|
$0
|
Paul M. Bryant Jr. | Robert and June Pierre, Ral... |
Nov. 27, 1993
Nov. 8, 1993 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
$10 million (preliminary approval) |
Sasco Investments LP v. U.S... |
Jan. 3, 2009
Jun. 13, 2008 |
|
|
Securities
Fraud
Verdict:
$0
|
$0
|
David A. Castillo v. Southw... |
Sep. 6, 2008
Mar. 1, 2008 |