57359 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$10,871
|
$10,871
|
Alice M. Potter v. Ameritas... |
Jun. 9, 2012
May 11, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Charles Paddock, individual... |
May 16, 2015
Apr. 1, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$350,000
|
$350,000
|
Joseph Simas, JoAnne Simas ... |
Jun. 26, 2010
Jun. 1, 2010 |
|
|
Securities
Negligence
Verdict:
$442,072
|
$442,072
|
Snow E. Jaynes, individuall... |
Sep. 14, 2013
Aug. 30, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$100,000
|
$100,000
|
Maurice Fakhoury, Martha Fa... |
Feb. 4, 2017
Nov. 21, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
OC Partners Inc. v. RBC Dai... |
May 12, 2012
Oct. 6, 2011 |
|
|
Securities
Arbitration
Verdict:
$226,590
|
$226,590
|
Laurie J. Butler | Gertraude Nye v. First Sout... |
Nov. 29, 1997
Jul. 2, 1997 |
|
Securities
NASD
Verdict:
$1,250,000
|
$1,250,000
|
Shari Nolan v. Phillip D. H... |
Dec. 2, 2006
Jul. 18, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Jay H. Mintz, IRA Rollover,... |
Mar. 20, 2010
Feb. 2, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$262,586
|
$262,586
|
Prudential Equity Group, LL... |
Dec. 6, 2008
Oct. 8, 2008 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,250,000
|
$1,250,000
|
Maritime Asset Management, ... |
Aug. 2, 2014
Jun. 7, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Richman Bry Jr. v. Kevin Ja... |
Nov. 3, 2012
Oct. 4, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
In Re: Wells Fargo Mortgage... |
Sep. 10, 2011
Apr. 22, 2010 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Darrell Lake, Executor for ... |
Nov. 18, 2006
Sep. 14, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Kenneth A. Kinko | Gerald Montiel v. Newbridge... |
Dec. 9, 2006
Aug. 3, 2006 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ronald L. Gershon | Patrick J. Schachle v. Merr... |
Dec. 9, 2006
Aug. 15, 2006 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Susan Pasillo and Mark Pasi... |
Nov. 30, 2013
Nov. 15, 2013 |
|
|
Securities
NASD
Verdict:
$103,643
|
$103,643
|
Reza and Saba Mokhtari v. C... |
Dec. 2, 2006
Sep. 8, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$13,713
|
$13,713
|
Elizabeth Bondoc v. Wachovi... |
Jan. 5, 2008
Nov. 12, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$19,167
|
$19,167
|
Harry R. Lynn, as Trustee o... |
Jul. 17, 2010
Jun. 21, 2010 |
|
|
Securities
NASD
Verdict:
$9,500
|
$9,500
|
Wells Fargo Investments, LL... |
Dec. 2, 2006
May 1, 2006 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Andrew Charles Gall v. UBS ... |
May 23, 2015
Mar. 13, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$23,761
|
$23,761
|
Securities and Exchange Com... |
Jul. 30, 2011
Jun. 8, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Vickie Tedesco Parrish, ind... |
Oct. 1, 2011
Jul. 18, 2011 |
|
|
Securities
Misrepresentation
Verdict:
$120,000
|
$120,000
|
Robert M. Levy | Confidential |
May 4, 1996
Mar. 21, 1996 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Paul F. Faberman | Darlene Darata v. McClurg C... |
Dec. 9, 2006
Sep. 27, 2006 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
John Phillip Toman Jr. v. M... |
Jul. 6, 2013
Jun. 14, 2013 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Michael Scott Barker v. Mor... |
Jan. 10, 2015
Jul. 11, 2014 |
|
|
Securities
Violation of the Securities Act
Verdict:
$1,700,000
|
$1,700,000
|
Securities and Exchange Com... |
Jun. 29, 2013
Jun. 7, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
$675,000 for respondent/cross-complainant Ina; $200,000 for respondent/cross-complainant Morilak; $733,000 for respondent/cross-complainant Parziale |
Banc of America Investment ... |
Jun. 9, 2007
Sep. 27, 2006 |