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56938 Rulings

Topic Case Name Published / Result

Securities

Securities
CRD Records
William David Leven v. UBS ... Aug. 25, 2017
    Jul. 19, 2017
Securities
Breach of Contract
Cyrus Tabaz v. Unionbanc In... Feb. 9, 2018
    Nov. 28, 2017
Securities
Breach of Contract
Verdict: $506,497
Wedbush Securities Inc. v. ... Nov. 6, 2014
    Oct. 4, 2014
Securities
Employment
Verdict: -$1
U.S. Bancorp Investments In... Oct. 30, 2014
    Oct. 7, 2014
Securities
Employment
Kevin Brooks Kugley v. Meri... Oct. 6, 2017
    Aug. 4, 2017
Securities
FINRA Rules
James Edward Chiate v. Merr... Feb. 9, 2018
    Nov. 22, 2017
Securities
Fraud and Gross Negligence
E. Thomas Clark Jr., aka El... Nov. 10, 2017
    Sep. 11, 2017
Securities
Expungement
Jerald Joseph Halverson, Mi... Feb. 2, 2018
    Dec. 6, 2017
Securities
Breach of Fiduciary Duty
Joan Haevernick v. Merrill ... Aug. 25, 2017
    Jun. 28, 2017
Securities
Fraud
Jorge Casas IRA v. FAS Team... Sep. 1, 2017
    May 30, 2017
Securities
Breach of Contract
Catherine Grace Bruno v. UB... Jan. 12, 2018
    Aug. 2, 2017
Securities
Breach of Fiduciary Duty
France Pollack, individuall... Oct. 6, 2017
    Sep. 5, 2017
Securities
Breach of Contract
Verdict: -$1
Wedbush Securities Inc. v. ... Jun. 6, 2013
    May 20, 2013
Securities
Expungement
Aaron A. DelSignore v. UBS ... Feb. 2, 2018
    Dec. 28, 2017
Securities
Expungement
Alvin Sanders v. Ameriprise... Feb. 16, 2018
    Dec. 6, 2017
Securities
Unfair Competition
Verdict: $1,249,524
Charles Schwab & Co. Inc. v... Dec. 15, 2017
    Nov. 2, 2017
Securities
Violation of the Protocol for Broker Recruiting
Southwest Securities Inc. n... Oct. 6, 2017
    Aug. 10, 2017
Securities
Securities Fraud
William J. Roberts v. TD Am... Feb. 2, 2018
    Dec. 1, 2017
Securities
Breach of Fiduciary Duty
Peter R. de Castro v. UBS F... Oct. 6, 2017
    Aug. 29, 2017
Securities
Financial Elder Abuse
Verdict: $1,797,054
Agatha Dancy, individually ... Sep. 8, 2017
    Jul. 12, 2017
Securities
Breach of Fiduciary Duty
Ronnie Harper, individually... Sep. 1, 2017
    Jun. 2, 2017
Securities
Employment
Farid Morim v. J.P. Morgan ... Sep. 1, 2017
    May 20, 2017
Securities
Breach of Contract
Charles Schwab & Co. Inc. v... Jan. 12, 2018
    Jun. 19, 2017
Securities
Unsuitability
Dwight Jay Hansen IRA, Dwig... Feb. 2, 2018
    Dec. 19, 2017
Securities
Securities Fraud
Verdict: $19,000,000
Viswanath V. Shankar, indiv... Mar. 2, 2018
    Oct. 11, 2017
Securities
Fraud
Harold B. Garner Jr., Shirl... Aug. 25, 2017
    Jul. 21, 2017
Securities
Fraud and Deceit
Richard Long v. Ruben Cavad... Feb. 2, 2018
    Dec. 29, 2017
Securities
Breach of Fiduciary Duty
Gordon Mapes, et al. v. Rya... Jan. 12, 2018
    Jun. 2, 2017
Securities
Securities Fraud
Verdict: $60,000
Nigel Timms v. Morgan Stanl... Feb. 9, 2018
    Jan. 2, 2018
Securities
Securities Exchange Act
Sofia Zoumboulakis v. Richa... Nov. 3, 2017
    Sep. 22, 2017