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56938 Rulings

Topic Case Name Published / Result

Securities

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