56938 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$706,733
|
$706,733
|
Securities And Exchange Com... |
Apr. 30, 2016
Apr. 7, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Kevin D. Swenson | Doris Rudolph v. Merrill Ly... |
Apr. 22, 2006
Nov. 30, 2005 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Karyn L. Seibert v. Paul J.... |
Feb. 6, 2016
Nov. 3, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$35,750,000
|
$35,750,000
|
In re STEC Inc. Securities ... |
Mar. 23, 2013
Mar. 5, 2013 |
|
|
Securities
Unfair Business Practices
Verdict:
-$1
|
-$1
Equitable Agreement |
James W. Edwards derivative... |
Sep. 6, 2014
May 19, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Sanofi-Aventis Securi... |
Feb. 8, 2014
Sep. 23, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
$14,000,000
|
$14,000,000
|
Linda Wong, individually an... |
Feb. 8, 2014
Oct. 4, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph E. Czarnecki, Nancy ... |
Feb. 8, 2014
Jan. 14, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$85,000
|
$85,000
|
Securities and Exchange Com... |
Sep. 6, 2014
Feb. 21, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Dorothy Wade, on Behalf of ... |
Oct. 16, 2010
Sep. 28, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$8,750,000
|
$8,750,000
|
Samuel Hildenbrand, on beha... |
Feb. 8, 2014
Mar. 1, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$857,314
|
$857,314
|
Securities and Exchange Com... |
Aug. 30, 2014
May 22, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$20,000,000
|
$20,000,000
|
Bhushan Athale, individuall... |
Feb. 8, 2014
May 16, 2013 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Dismissal |
Merrill Lynch, Pierce, Fenn... |
Feb. 1, 2014
Jan. 10, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Edgar T. Clark, M.D., indiv... |
Dec. 4, 2010
Nov. 10, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$3,000,000
|
$3,000,000
|
Burt Weston, on behalf of h... |
Feb. 8, 2014
Dec. 16, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
$5,000,000
|
$5,000,000
|
Securities and Exchange Com... |
Feb. 1, 2014
Jan. 9, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Sofia Zoumboulakis, derivat... |
Aug. 30, 2014
Aug. 7, 2014 |
|
|
Securities
Employment
Verdict:
$241,226
|
$241,226
|
Morgan Stanley & Co. Inc. v... |
Jan. 25, 2014
Jan. 3, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
John Shishko Revocable Trus... |
Jan. 25, 2014
Jan. 6, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Berman Klein Realty Associa... |
Jan. 11, 2014
Dec. 30, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Rodolfo C. and Maria O. Del... |
Mar. 21, 2015
Feb. 19, 2015 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Mixed Decision |
Reuben Vollmer v. Genesis C... |
May 2, 2015
Mar. 19, 2015 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Mary Anne Barreiro v. Ameri... |
Jul. 27, 2013
Jul. 12, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
$26,000,000
|
$26,000,000
|
City of Roseville Employees... |
Jan. 5, 2013
Dec. 4, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$3,768,330
|
$3,768,330
|
Robert Stanger v. China Ele... |
Jun. 22, 2013
Jun. 3, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Verdict for respondent Morgan Stanley Smith Barney |
Oliver Schwarz v. Citigroup... |
Jul. 21, 2012
Jun. 4, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Irvine Jay Welch III v. Dwa... |
Jan. 12, 2013
Dec. 20, 2012 |
|
|
Securities
Fraud
Verdict:
$273,119
|
$273,119
|
Laurie Dee Miranda v. Craig... |
Dec. 20, 2014
Nov. 13, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Stanley Levine, Charles Bri... |
Jun. 21, 2014
Jun. 11, 2013 |