57361 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Securities Fraud |
Respondent | Amy Jiau, Jih Chyi Leu v. H... |
Nov. 29, 2019
Oct. 4, 2019 |
|
Securities
Verdict:
$10,691,500
|
$10,691,500
|
Cormac J. Carney | Securities and Exchange Com... |
Apr. 16, 2021
Jan. 20, 2021 |
Securities
Breach of Fiduciary Duty |
Respondent | Adrian A. Colley | Jingjing Xu and Sandeep Mir... |
May 17, 2019
Apr. 1, 2019 |
Securities
Securities Fraud
Verdict:
$6,283,079
|
$6,283,079
|
Richard Seeborg | Securities and Exchange Com... |
Apr. 11, 2025
Jul. 25, 2024 |
Securities
FINRA Rules
Verdict:
$45,000
|
$45,000
|
Sal Curattalo, Mary Curatta... |
Nov. 29, 2014
Nov. 6, 2014 |
|
Securities
Securities Exchange Act
Verdict:
$129,000,000
|
$129,000,000
|
William H. Alsup | The Police Retirement Syste... |
May 21, 2021
Apr. 30, 2021 |
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Susan L. Greenberg | In re: Tintri Inc. Securiti... |
Dec. 20, 2024
Jan. 11, 2024 |
Securities
Expungement |
Claimant | G. Scott Diddel v. Voya Fin... |
Dec. 13, 2019
Oct. 29, 2019 |
|
Securities
Securities Exchange Act
Verdict:
$12,750,000
|
$12,750,000
|
Marilyn L. Huff | Kevin Kendall, Individually... |
Dec. 23, 2021
Dec. 3, 2021 |
Securities
Securities Fraud |
Injunctive Relief | Stanley Blumenfeld Jr. | Securities and Exchange Com... |
Jul. 30, 2021
Jul. 2, 2021 |
Securities
Securities Exchange Act
Verdict:
$5,998,000
|
$5,998,000
|
David O. Carter | Securities and Exchange Com... |
Dec. 10, 2021
Nov. 19, 2021 |
Securities
Securities Exchange Act
Verdict:
$20,000,000
|
$20,000,000
|
Kenly K. Kato | Brian Donley, individually ... |
Jun. 12, 2025
Mar. 21, 2025 |
Securities
Securities Exchange Act
Verdict:
$11,900,000
|
$11,900,000
|
Claudia Wilken | Bradley Cooper, individuall... |
Mar. 22, 2019
Feb. 1, 2019 |
Securities
Breach of Fiduciary Duty |
Dismissal | Robert E. Jenks Jr. | Mario Frank Voce, Julia Voc... |
Mar. 22, 2019
Jan. 28, 2019 |
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | Iron Workers Local 580 Join... |
Mar. 26, 2021
Mar. 2, 2021 |
Securities
Securities Fraud |
Defense | Yvonne Gonzalez Rogers | Christopher Hamilton, et al... |
Apr. 30, 2021
Apr. 5, 2021 |
Securities
Expungement |
Expungement | Jimmy J. Suh v. Merrill Lyn... |
May 31, 2019
Apr. 17, 2019 |
|
Securities
Securities Fraud
Verdict:
$813,808
|
$813,808
|
Philip S. Gutierrez | Securities and Exchange Com... |
Jan. 8, 2021
Nov. 19, 2020 |
Securities
Securities Fraud
Verdict:
$775,000
|
$775,000
|
Christina A. Snyder | Ashkan Farazmand, derivativ... |
Jan. 10, 2025
Oct. 30, 2024 |
Securities
Expungement |
Expungement | Ronald Louis Valpey v. Merr... |
May 24, 2019
Apr. 11, 2019 |
|
Securities
Securities Fraud
Verdict:
$542,121
|
$542,121
|
Josephine L. Staton | Securities and Exchange Com... |
Jan. 17, 2025
Sep. 12, 2024 |
Securities
Expungement |
Expungement | Kevin K. Forrester | Nisha Sandeep Varma v. LPL ... |
May 31, 2019
Apr. 4, 2019 |
Securities
Expungement |
Expungement | Matt Ward v. Euro Pacific C... |
May 24, 2019
Apr. 16, 2019 |
|
Securities
Securities Fraud
Verdict:
$1,250,000
|
$1,250,000
|
Beth L. Freeman | Spencer Wong, Individually ... |
Apr. 23, 2021
Mar. 25, 2021 |
Securities
Securities Exchange Act
Verdict:
$1,000,000
|
$1,000,000
|
Haywood S. Gilliam Jr. | Christopher Vataj v. Willia... |
Jul. 23, 2021
Apr. 20, 2021 |
Securities
Securities Fraud
Verdict:
$3,500,000
|
$3,500,000
|
Fred W. Slaughter | Timothy Brady v. Delta Ener... |
Aug. 30, 2024
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Haywood S. Gilliam Jr. | In Re Aqua Metals Inc. Secu... |
Mar. 25, 2022
Mar. 8, 2022 |
Securities
Securities Exchange Act
Verdict:
$100,000,000
|
$100,000,000
|
Michael W. Fitzgerald | Matt Karinski, individually... |
May 20, 2022
Jan. 24, 2022 |
Securities
Derivative Suit |
Dismissal | Charles R. Breyer | Jean E. Henry, Individually... |
Apr. 3, 2020
Jan. 21, 2020 |
Securities
Breach of Fiduciary Duty |
Respondent | Jerry Etter v. Todd Lindley... |
Jan. 31, 2020
Nov. 14, 2019 |