56938 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
CRD Records |
Expungement | Raymond C. Kerr | William David Leven v. UBS ... |
Aug. 25, 2017
Jul. 19, 2017 |
Securities
Breach of Contract |
Respondent | George L. Tindall | Cyrus Tabaz v. Unionbanc In... |
Feb. 9, 2018
Nov. 28, 2017 |
Securities
Breach of Contract
Verdict:
$506,497
|
$506,497
|
Wedbush Securities Inc. v. ... |
Nov. 6, 2014
Oct. 4, 2014 |
|
Securities
Employment
Verdict:
-$1
|
-$1
Counterclaim Denied |
U.S. Bancorp Investments In... |
Oct. 30, 2014
Oct. 7, 2014 |
|
Securities
Employment |
Expungement | Jeffrey R. Jury | Kevin Brooks Kugley v. Meri... |
Oct. 6, 2017
Aug. 4, 2017 |
Securities
FINRA Rules |
Expungement | Richard J. Stall Jr. | James Edward Chiate v. Merr... |
Feb. 9, 2018
Nov. 22, 2017 |
Securities
Fraud and Gross Negligence |
Respondent | Peter H. Daly | E. Thomas Clark Jr., aka El... |
Nov. 10, 2017
Sep. 11, 2017 |
Securities
Expungement |
Expungement | Robert E. Jenks Jr. | Jerald Joseph Halverson, Mi... |
Feb. 2, 2018
Dec. 6, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | Herbert Liberman | Joan Haevernick v. Merrill ... |
Aug. 25, 2017
Jun. 28, 2017 |
Securities
Fraud |
Respondent | Benjamin F. Breslauer | Jorge Casas IRA v. FAS Team... |
Sep. 1, 2017
May 30, 2017 |
Securities
Breach of Contract |
Respondent | Guenter S. Cohn | Catherine Grace Bruno v. UB... |
Jan. 12, 2018
Aug. 2, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | Richard J. Stall Jr. | France Pollack, individuall... |
Oct. 6, 2017
Sep. 5, 2017 |
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$298,667 on counterclaim |
Wedbush Securities Inc. v. ... |
Jun. 6, 2013
May 20, 2013 |
|
Securities
Expungement |
Expungement Denied | Michael John Florio | Aaron A. DelSignore v. UBS ... |
Feb. 2, 2018
Dec. 28, 2017 |
Securities
Expungement |
Expungement | Herbert Liberman | Alvin Sanders v. Ameriprise... |
Feb. 16, 2018
Dec. 6, 2017 |
Securities
Unfair Competition
Verdict:
$1,249,524
|
$1,249,524
|
Cheryl Marie Allain-Mee | Charles Schwab & Co. Inc. v... |
Dec. 15, 2017
Nov. 2, 2017 |
Securities
Violation of the Protocol for Broker Recruiting |
Claimant | Evan A. Gould | Southwest Securities Inc. n... |
Oct. 6, 2017
Aug. 10, 2017 |
Securities
Securities Fraud |
Respondent | Peter D. Steinbroner | William J. Roberts v. TD Am... |
Feb. 2, 2018
Dec. 1, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | William M. Samsel | Peter R. de Castro v. UBS F... |
Oct. 6, 2017
Aug. 29, 2017 |
Securities
Financial Elder Abuse
Verdict:
$1,797,054
|
$1,797,054
|
A. Joel Klein | Agatha Dancy, individually ... |
Sep. 8, 2017
Jul. 12, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | Edward A. Trabin | Ronnie Harper, individually... |
Sep. 1, 2017
Jun. 2, 2017 |
Securities
Employment |
Respondent | Steven Gourley | Farid Morim v. J.P. Morgan ... |
Sep. 1, 2017
May 20, 2017 |
Securities
Breach of Contract |
Expungement | Kirtley M. Thiesmeyer | Charles Schwab & Co. Inc. v... |
Jan. 12, 2018
Jun. 19, 2017 |
Securities
Unsuitability |
Dismissal | G.E. Craig Doupe | Dwight Jay Hansen IRA, Dwig... |
Feb. 2, 2018
Dec. 19, 2017 |
Securities
Securities Fraud
Verdict:
$19,000,000
|
$19,000,000
|
Phyllis J. Hamilton | Viswanath V. Shankar, indiv... |
Mar. 2, 2018
Oct. 11, 2017 |
Securities
Fraud |
Expungement | Christopher M. McMurray | Harold B. Garner Jr., Shirl... |
Aug. 25, 2017
Jul. 21, 2017 |
Securities
Fraud and Deceit |
Respondents | Elliott D. Finkel | Richard Long v. Ruben Cavad... |
Feb. 2, 2018
Dec. 29, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement Denied | James D. Knotter | Gordon Mapes, et al. v. Rya... |
Jan. 12, 2018
Jun. 2, 2017 |
Securities
Securities Fraud
Verdict:
$60,000
|
$60,000
|
Herbert Liberman | Nigel Timms v. Morgan Stanl... |
Feb. 9, 2018
Jan. 2, 2018 |
Securities
Securities Exchange Act |
Dismissal | Edward J. Davila | Sofia Zoumboulakis v. Richa... |
Nov. 3, 2017
Sep. 22, 2017 |