56938 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal with Leave to Amend |
Cement & Concrete Workers D... |
Aug. 24, 2013
Aug. 9, 2013 |
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Claimant |
Grant Arthur Gochin v. UBS ... |
Jan. 24, 2015
Dec. 14, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Alfred W. Richardson IRA, A... |
Aug. 11, 2012
Jul. 10, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Yvonne D. Kloehn v. Wells F... |
Aug. 24, 2013
Aug. 12, 2013 |
|
Securities
Securities Fraud
Verdict:
$831,860
|
$831,860
|
Robert E. Lee, individually... |
Nov. 5, 2011
Jul. 29, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
R. Kent Emigh, individually... |
Aug. 27, 2011
Aug. 2, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Alaris F. Thorns IRA Rollov... |
Aug. 31, 2013
Aug. 14, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$49,976
|
$49,976
|
Judith A. Malone v. Fidelit... |
Nov. 5, 2011
Jul. 30, 2011 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Injunction |
Securities and Exchange Com... |
Apr. 9, 2016
Mar. 1, 2016 |
|
Securities
Securities Fraud
Verdict:
$9,000,000
|
$9,000,000
|
In re Vocera Communications... |
Apr. 9, 2016
Mar. 4, 2016 |
|
Securities
Breach of Contract
Verdict:
$435,383
|
$435,383
|
Patrick "Brian" FitzWilliam... |
Sep. 7, 2013
Aug. 15, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$450,000
|
$450,000
|
The Tanya Martino Trust UAD... |
Mar. 17, 2007
Nov. 10, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Bernard Greenapple, individ... |
Feb. 3, 2007
Nov. 1, 2006 |
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Dismissal |
Stephanie Mallen v. Alphate... |
Aug. 31, 2013
Mar. 28, 2013 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Netflix, Inc. Securit... |
Sep. 7, 2013
Aug. 20, 2013 |
|
Securities
Violations of Exchange Act
Verdict:
$2,500,000
|
$2,500,000
|
Securities and Exchange Com... |
Nov. 5, 2011
Aug. 5, 2011 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Frank Charles Miller v. Wel... |
Sep. 7, 2013
Aug. 20, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$150,000
|
$150,000
|
Confidential |
Jan. 1, 2001
Dec. 15, 2000 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Lisa E. Coppola v. Juniper ... |
Jun. 1, 2013
May 17, 2013 |
|
Securities
Breach of Promissory Note
Verdict:
$713,230
|
$713,230
|
Wells Fargo Advisors, LLC, ... |
Jun. 1, 2013
May 17, 2013 |
|
Securities
Breach of Contract
Verdict:
$17,384
|
$17,384
|
Harvest & Rowe Inc. Retirem... |
Jun. 1, 2013
May 17, 2013 |
|
Securities
Suitability
Verdict:
$17,680
|
$17,680
|
Stephen Picarello on behalf... |
May 25, 2013
May 8, 2013 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Nathaniel L. Anderson, et a... |
Sep. 7, 2013
Aug. 23, 2013 |
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
A. J. Copeland v. Raymond J... |
May 18, 2013
May 6, 2013 |
|
Securities
Breach of Contract
Verdict:
$149,763
|
$149,763
|
Wells Fargo Advisors LLC v.... |
Jun. 1, 2013
May 16, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Larry McCumber and Joyce Mc... |
May 18, 2013
Apr. 30, 2013 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Permanent Injunction |
U.S. Bancorp Investments In... |
May 18, 2013
May 2, 2013 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal (in part) |
Herbert R. Huber and Kathry... |
May 11, 2013
Apr. 24, 2013 |
|
Securities
Unfair Business Practices
Verdict:
-$1
|
-$1
Non-Prosecution Agreement |
U.S. Securities and Exchang... |
May 11, 2013
Apr. 19, 2013 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement Denied |
Roberta Jessop and Raymond ... |
May 11, 2013
Apr. 25, 2013 |