56938 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joe Solorsa v. Wells Fargo ... |
Nov. 28, 2015
Oct. 14, 2015 |
|
Securities
Unfair Competition
Verdict:
$3,800,000
|
$3,800,000
|
David Smith, individually a... |
Dec. 31, 2011
Dec. 7, 2011 |
|
Securities
Violations of Exchange Act
Verdict:
$151,480
|
$151,480
|
Securities and Exchange Com... |
Apr. 19, 2014
Mar. 31, 2014 |
|
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent; Expungement |
Margaret A. Lucas v. Mannin... |
Nov. 28, 2015
Oct. 31, 2015 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Mansour Matloob and Mansour... |
Jan. 19, 2013
Dec. 21, 2012 |
|
Securities
Fraud
Verdict:
$1,800,000
|
$1,800,000
|
In re Rentech Securities Li... |
May 7, 2011
Mar. 23, 2011 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Michael J. Harrison | Randall H. Moses v. Pruco S... |
Aug. 25, 2017
Jul. 6, 2017 |
Securities
CRD Records |
Expungement | Richard J. Stall Jr. | Charles Paul Reinhold v. HB... |
Aug. 25, 2017
Jul. 17, 2017 |
Securities
Securities Fraud |
Expungement | William M. Samsel | Laurie Seeman, an individua... |
Oct. 6, 2017
Sep. 1, 2017 |
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$298,667 on counterclaim |
Wedbush Securities Inc. v. ... |
Jun. 6, 2013
May 20, 2013 |
|
Securities
Securities Fraud
Verdict:
$6,400,000
|
$6,400,000
|
Peter Kirwan | City of Warren Police and F... |
Sep. 15, 2017
Jul. 28, 2017 |
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Michael Stief v. Advanced E... |
Jun. 6, 2013
May 20, 2013 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Gregory Allen Headrick v. U... |
May 30, 2013
May 19, 2013 |
|
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 | Edward A. Trabin | Ronnie Harper, individually... |
Sep. 1, 2017
Jun. 2, 2017 |
Securities
Breach of Fiduciary Duty |
Respondent | Thomas E. Shuck | Paul Michel v. E-Trade Secu... |
Sep. 1, 2017
Jun. 7, 2017 |
Securities
Breach of Fiduciary Duty |
Respondent | Richard Norman | Simco Company v. E-Trade Se... |
Sep. 1, 2017
Jun. 23, 2017 |
Securities
Employment |
Respondent | Steven Gourley | Farid Morim v. J.P. Morgan ... |
Sep. 1, 2017
May 20, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement Denied | James D. Knotter | Gordon Mapes, et al. v. Rya... |
Jan. 12, 2018
Jun. 2, 2017 |
Securities
Fraud |
Respondent | Benjamin F. Breslauer | Jorge Casas IRA v. FAS Team... |
Sep. 1, 2017
May 30, 2017 |
Securities
Negligent Misrepresentation |
Expungement | Michael Harrison | Charles W. Morgan, individu... |
Oct. 6, 2017
Aug. 22, 2017 |
Securities
Violation of California Securities Law |
Expungement | Howard R. Gaines | Rosemarie McBride v. Wells ... |
Aug. 25, 2017
Jun. 28, 2017 |
Securities
Breach of Fiduciary Duty |
Respondent | Mark Kalish | Larry Haberkorn v. Wells Fa... |
Sep. 1, 2017
Jun. 22, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$27,015
|
$27,015
|
Lynn H. Brahin | Samantha Skorija v. VSR Fin... |
Aug. 25, 2017
Jul. 12, 2017 |
Securities
Breach of Contract |
Respondent | Leonard E. Benade | Javed Maniya v. OptionsHouse |
Sep. 1, 2017
Jun. 28, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$3,100
|
$3,100
|
Raymond M. Kirtley | Jamar Evans v. E-Trade Secu... |
Oct. 6, 2017
Sep. 1, 2017 |
Securities
Unauthorized Transfer
Verdict:
$212,000
|
$212,000
|
Sally G. Williams | Hazel Kitzman, individually... |
Sep. 29, 2017
Sep. 8, 2017 |
Securities
Negligence |
Expungement | Walter S. Schwartz | Janet E. Russ, individually... |
Jan. 12, 2018
Jul. 26, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | Richard J. Stall Jr. | France Pollack, individuall... |
Oct. 6, 2017
Sep. 5, 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 |