57359 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Employment |
Expungement Denied | Brett W. Olander | Jeffrey David Thoele v. Wal... |
Jan. 12, 2018
Aug. 25, 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
Fraud |
Expungement | Christopher M. McMurray | Harold B. Garner Jr., Shirl... |
Aug. 25, 2017
Jul. 21, 2017 |
|
Securities
FINRA Rules |
Expungement | Richard J. Stall Jr. | James Edward Chiate v. Merr... |
Feb. 9, 2018
Nov. 22, 2017 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Josette S. Hatter IRA; Rodn... |
Oct. 6, 2017
Aug. 10, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,176,000
|
$1,176,000
|
Barbara M. Anscher | Michael Gerard Rom v. Phili... |
Feb. 2, 2018
Nov. 22, 2017 |
|
Securities
FINRA Rules |
Expungement | Robert F. Saint-Aubin | Christopher Alan Clark v. L... |
Feb. 9, 2018
Dec. 16, 2017 |
|
Securities
Securities Fraud
Verdict:
$200,907
|
$200,907
|
Securities and Exchange Com... |
Jan. 28, 2017
Dec. 7, 2016 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
St. Anthony Foundation's Ca... |
Feb. 4, 2012
Apr. 5, 2011 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Cement Masons & Plasterers ... |
Jul. 20, 2013
Jun. 12, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$2,462,900,000
|
$2,462,900,000
|
Lawrence E. Jaffe Pension P... |
Nov. 9, 2013
Oct. 17, 2013 |
|
|
Securities
Fraud
Verdict:
$0
|
$0
|
Paul H. Alvarado | Kennilworth Partners v. Cri... |
Nov. 15, 2001
Oct. 10, 2001 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement Denied |
Arthur A. Torrellas, First ... |
Aug. 20, 2016
May 12, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$1,400,000,000
|
$1,400,000,000
|
People of the State of Cali... |
Apr. 3, 2010
Nov. 17, 2009 |
|
|
Securities
Unfair Competition
Verdict:
$3,800,000
|
$3,800,000
|
David Smith, individually a... |
Dec. 31, 2011
Dec. 7, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Defense |
Francis J. Bonanno, individ... |
Oct. 1, 2016
Sep. 2, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Daniel B. Levine, Stacy B. ... |
Apr. 5, 2014
Mar. 20, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Mansour Matloob and Mansour... |
Jan. 19, 2013
Dec. 21, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$7,700,000
|
$7,700,000
|
Construction Workers Pensio... |
Apr. 5, 2014
Mar. 17, 2014 |
|
|
Securities
Negligence
Verdict:
$309,750
|
$309,750
|
Paul Azarian, Loreta Azaria... |
Apr. 12, 2014
Mar. 21, 2014 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent; Expungement |
Margaret A. Lucas v. Mannin... |
Nov. 28, 2015
Oct. 31, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$90,000
|
$90,000
|
Keith D. Miller, Individual... |
Jan. 26, 2013
Jan. 8, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$3,768,330
|
$3,768,330
|
Robert Stanger v. China Ele... |
Jun. 22, 2013
Jun. 3, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
$151,480
|
$151,480
|
Securities and Exchange Com... |
Apr. 19, 2014
Mar. 31, 2014 |
|
|
Securities
Fraud
Verdict:
$18,000,000
|
$18,000,000
|
In Re Rambus Inc. Securitie... |
Oct. 13, 2007
Jun. 29, 2007 |
|
|
Securities
Breach of Duty
Verdict:
$1,545,000
|
$1,545,000
|
First AFG Financial v. Prio... |
May 15, 2010
Jul. 8, 2009 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Cynthia Siegle v. LPL Finan... |
Oct. 25, 2014
Sep. 30, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Joseph Sanberg v. Fidelity ... |
Aug. 20, 2016
May 26, 2016 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
John Brasfield v. Ameripris... |
Jun. 21, 2014
Jun. 2, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$162,393
|
$162,393
|
Morgan Stanley Smith Barney... |
Jan. 19, 2013
Dec. 26, 2012 |