56938 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$5,500,000
|
$5,500,000
|
James Rafton, Trustee of th... |
Dec. 3, 2011
Nov. 10, 2011 |
|
|
Securities
Verdict:
$1,500,000
|
$1,500,000
|
The Commissioner of Financi... |
Aug. 30, 2024
Dec. 21, 2023 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles Liotta Trust dated ... |
Jul. 12, 2014
Jun. 24, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$1,030,545 (for Shemano Group) |
The Shemano Group Inc. (Cla... |
Oct. 27, 2007
Jul. 5, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Glenna L. Maguire, individu... |
Nov. 19, 2011
Nov. 2, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
William T. Hampton, individ... |
Jan. 23, 2016
Nov. 2, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$25,000,000
|
$25,000,000
|
Haywood S. Gilliam Jr. | In re: Lyft Inc. Securities... |
Nov. 17, 2023
Aug. 9, 2023 |
|
Securities
Stocks
Verdict:
$10,850,000
|
$10,850,000
|
Stuart J. Steele, et al. v.... |
Jan. 14, 2012
Dec. 21, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Randel Kendall, individuall... |
Feb. 20, 2010
Jan. 15, 2010 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Denial |
Kevin Joseph Schaefer v. UB... |
Oct. 1, 2011
Jul. 14, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Dismissal |
NestWorth Inc. v. Prager & ... |
Aug. 9, 2014
Jul. 10, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$685,579
|
$685,579
|
Ralph A. Cotton | Bonnie Bolle, individually ... |
Jan. 26, 2018
Dec. 20, 2017 |
|
Securities
Negligence |
Expungement | Walter S. Schwartz | Janet E. Russ, individually... |
Jan. 12, 2018
Jul. 26, 2017 |
|
Securities
Securities Fraud |
Defense | Roger T. Benitez | Craig M. Plumley, individua... |
Sep. 1, 2017
Jun. 20, 2017 |
|
Securities
Fraud |
Respondent | Benjamin F. Breslauer | Jorge Casas IRA v. FAS Team... |
Sep. 1, 2017
May 30, 2017 |
|
Securities
Securities Fraud
Verdict:
$6,400,000
|
$6,400,000
|
Peter Kirwan | City of Warren Police and F... |
Sep. 15, 2017
Jul. 28, 2017 |
|
Securities
Expungement |
Respondent | Arocles Aguilar | Xi Chen v. UBS Financial Se... |
Nov. 10, 2017
Sep. 12, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Richard Norman | Simco Company v. E-Trade Se... |
Sep. 1, 2017
Jun. 23, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Thomas E. Shuck | Paul Michel v. E-Trade Secu... |
Sep. 1, 2017
Jun. 7, 2017 |
|
Securities
Unsuitability
Verdict:
$170,062
|
$170,062
|
Debra Bitney, individually ... |
Jan. 26, 2018
Dec. 12, 2017 |
|
|
Securities
Commodities
Verdict:
$624,000,000
|
$624,000,000
|
In re Countrywide Financial... |
Aug. 12, 2010
Jul. 31, 2010 |
|
|
Securities
Financial Abuse of an Elder or Dependent Adult,
Verdict:
$160,000
|
$160,000
|
Philip A. Tymon | Jack Paich v. BluePrint Wea... |
Sep. 8, 2017
Jun. 15, 2017 |
|
Securities
Breach of Fiduciary Duty |
Dismissal | Mark R. Lee | Sujata Vyas v. First Affili... |
Nov. 10, 2017
Sep. 9, 2017 |
|
Securities
FINRA Rules |
Expungement | Richard J. Stall Jr. | James Edward Chiate v. Merr... |
Feb. 9, 2018
Nov. 22, 2017 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Josette S. Hatter IRA; Rodn... |
Oct. 6, 2017
Aug. 10, 2017 |
|
Securities
Securities Fraud |
Expungement | William M. Samsel | Laurie Seeman, an individua... |
Oct. 6, 2017
Sep. 1, 2017 |
|
Securities
Fraud and Deceit |
Respondents | Elliott D. Finkel | Richard Long v. Ruben Cavad... |
Feb. 2, 2018
Dec. 29, 2017 |
|
Securities
Unsuitability |
Dismissal | G.E. Craig Doupe | Dwight Jay Hansen IRA, Dwig... |
Feb. 2, 2018
Dec. 19, 2017 |
|
Securities
Negligent Misrepresentation |
Expungement | Michael Harrison | Charles W. Morgan, individu... |
Oct. 6, 2017
Aug. 22, 2017 |
|
Securities
CRD Records |
Expungement | Richard J. Stall Jr. | Charles Paul Reinhold v. HB... |
Aug. 25, 2017
Jul. 17, 2017 |