57905 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Stocks
Verdict:
$329,239
|
$329,239
|
Joan Kushner, Michael Eggim... |
Sep. 22, 2012
Aug. 30, 2012 |
|
|
Securities
Commodities
Verdict:
$125,000,000
|
$125,000,000
|
New Orleans Employees' Reti... |
Sep. 24, 2011
Jul. 7, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claims Denied |
Muri Trust, Mary K. Byrnes,... |
Oct. 1, 2011
Jul. 19, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mehmet Akin, Adrian Akin v.... |
Dec. 10, 2016
Oct. 20, 2016 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | The Leonard and Gen Winton ... |
Mar. 13, 2020
Nov. 8, 2019 |
|
|
Securities
Commodities
Verdict:
$65,000,000
|
$65,000,000
|
Michael M. Anello | Lou Baker, individually and... |
Apr. 24, 2020
Feb. 18, 2020 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal with Leave |
In re Zynga Inc. Securities... |
Apr. 5, 2014
Feb. 25, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
The Atle Fjeld and Kirsten ... |
Dec. 31, 2016
Nov. 3, 2016 |
|
|
Securities
Falsification of Records
Verdict:
-$1
|
-$1
Mixed Result |
Department of Market Regula... |
Jul. 9, 2016
Apr. 4, 2016 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
The Donald J. Adams Trust v... |
May 23, 2015
Mar. 13, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Countrywide Financial... |
Sep. 14, 2013
Aug. 26, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Injunction |
Securities and Exchange Com... |
Apr. 9, 2016
Mar. 1, 2016 |
|
|
Securities
Derivative Suit
Verdict:
$33,200,000
|
$33,200,000
|
In re: KLA-Tencor Corp., Sh... |
May 1, 2010
Mar. 16, 2010 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Feb. 9, 2013
Jan. 23, 2013 |
|
|
Securities
Expungement |
Expungement | Philip A. Tymon | Sonny Hamesh Gulati v. UBS ... |
Feb. 1, 2019
Dec. 3, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Gerhard Rohloff individuall... |
Nov. 3, 2012
Oct. 5, 2012 |
|
|
Securities
Expungement |
Expungement | Philip A. Tymon | Bradley Jay Bamblatt v. UBS... |
Dec. 15, 2017
Nov. 14, 2017 |
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Matthew Martin Howley v. Me... |
Apr. 5, 2019
Mar. 4, 2019 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Paul Lemon v. Jeffrey James... |
Aug. 9, 2014
Jul. 9, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Louise Leon v. Dale William... |
Jan. 19, 2013
Dec. 21, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Seymour Berger and Barbara ... |
Sep. 21, 2013
Sep. 9, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
In Re: Wells Fargo Mortgage... |
Sep. 10, 2011
Apr. 22, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$8,500,000
|
$8,500,000
|
In Re Cytrx Corporation Sec... |
Feb. 20, 2016
Jan. 20, 2016 |
|
|
Securities
Expungement |
Expungement | Robert D. Sussin | Gary Robert Davis, Ariel Bo... |
Dec. 28, 2018
Sep. 12, 2018 |
|
Securities
Negligence
Verdict:
$25,000
|
$25,000
|
Steve R. Fraser v. Wachovia... |
Mar. 12, 2011
Feb. 11, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$17,212
|
$17,212
|
Stephen O'Laughlin v. E-Tra... |
Aug. 9, 2014
Jul. 10, 2014 |
|
|
Securities
Expungement |
Expungement | Peter Ivan Michael Shusterm... |
Jun. 21, 2019
May 6, 2019 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In Re Vical Incorporated Se... |
May 9, 2015
Mar. 9, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$2,819,692
|
$2,819,692
|
Jeffrey S. White | Securities and Exchange Com... |
Jun. 24, 2022
Apr. 11, 2022 |
|
Securities
Suitability
Verdict:
$17,680
|
$17,680
|
Stephen Picarello on behalf... |
May 25, 2013
May 8, 2013 |