57359 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
$506,497
|
$506,497
|
Wedbush Securities Inc. v. ... |
Nov. 6, 2014
Oct. 4, 2014 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Thomas E. Shuck | Paul Michel v. E-Trade Secu... |
Sep. 1, 2017
Jun. 7, 2017 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Cross-claims Denied |
Raymond James Financial Ser... |
Nov. 6, 2014
Oct. 8, 2014 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Richard Norman | Simco Company v. E-Trade Se... |
Sep. 1, 2017
Jun. 23, 2017 |
|
Securities
Unsuitability |
Dismissal | G.E. Craig Doupe | Dwight Jay Hansen IRA, Dwig... |
Feb. 2, 2018
Dec. 19, 2017 |
|
Securities
Fraud |
Respondent | Benjamin F. Breslauer | Jorge Casas IRA v. FAS Team... |
Sep. 1, 2017
May 30, 2017 |
|
Securities
Defamation
Verdict:
$400,000
|
$400,000
|
Arthur T. Berggren | Michael William Sexton v. B... |
Feb. 9, 2018
Dec. 28, 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
Employment |
Expungement | Brian J. Gallagher | Paul Scott Selvin v. Merril... |
Jan. 12, 2018
Aug. 17, 2017 |
|
Securities
Employment |
Expungement Denied | Brett W. Olander | Jeffrey David Thoele v. Wal... |
Jan. 12, 2018
Aug. 25, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$125,000
|
$125,000
|
Robert D. Sussin | Overview Productions Inc. v... |
Nov. 10, 2017
Sep. 11, 2017 |
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Ronald Mark Daly v. Piper J... |
Dec. 15, 2017
Nov. 6, 2017 |
|
Securities
Breach of Fiduciary Duty |
Dismissal | Mark R. Lee | Sujata Vyas v. First Affili... |
Nov. 10, 2017
Sep. 9, 2017 |
|
Securities
Breach of Fiduciary Duty |
Expungement | David A. Schuler | Ellen E. Robertson v. Morga... |
Jan. 12, 2018
Aug. 2, 2017 |
|
Securities
Expungement |
Respondent | Arocles Aguilar | Xi Chen v. UBS Financial Se... |
Nov. 10, 2017
Sep. 12, 2017 |
|
Securities
Negligence |
Dismissal | David S. Billet | David W. Appel Jr., Gimme S... |
Jan. 26, 2018
Jan. 2, 2018 |
|
Securities
Breach of Contract |
Respondent | Leonard E. Benade | Javed Maniya v. OptionsHouse |
Sep. 1, 2017
Jun. 28, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$50,000
|
$50,000
|
George W. Harding | Howard Brinkerhoff v. Charl... |
Dec. 22, 2017
Nov. 9, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Mark Kalish | Larry Haberkorn v. Wells Fa... |
Sep. 1, 2017
Jun. 22, 2017 |
|
Securities
Fraud |
Respondent | Peter D. Steinbroner | William J. Roberts v. TD Am... |
Dec. 15, 2017
Dec. 1, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | John K. Hart | Kosti Shirvanian and Marian... |
Dec. 22, 2017
Oct. 27, 2017 |
|
Securities
Expungement |
Expungement | Charles Michaels | Jon Ronald Springer v. Cete... |
Feb. 2, 2018
Dec. 18, 2017 |
|
Securities
Breach of Promissory Note
Verdict:
$34,800
|
$34,800
|
Nancy J. Spieczny | Wells Fargo Advisors LLC v.... |
Aug. 25, 2017
Jul. 11, 2017 |
|
Securities
Securities Fraud |
Expungement | William M. Samsel | Laurie Seeman, an individua... |
Oct. 6, 2017
Sep. 1, 2017 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Herbert Liberman | Joan Haevernick v. Merrill ... |
Aug. 25, 2017
Jun. 28, 2017 |
|
Securities
Negligent Misrepresentation |
Expungement | Michael Harrison | Charles W. Morgan, individu... |
Oct. 6, 2017
Aug. 22, 2017 |
|
Securities
Breach of Contract |
Respondent | Brian B. Torsney Sr. | Bradley Aaron Sayre v. J.P.... |
Jan. 12, 2018
Aug. 3, 2017 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Josette S. Hatter IRA; Rodn... |
Oct. 6, 2017
Aug. 10, 2017 |
|
Securities
Unsuitability
Verdict:
$170,062
|
$170,062
|
Debra Bitney, individually ... |
Jan. 26, 2018
Dec. 12, 2017 |