56938 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Breach of Fiduciary Duty
Verdict:
$60,000
|
$60,000
|
Jeanne Van Order v. Securit... |
Jan. 27, 2007
Nov. 10, 2006 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement Denied |
Roberta Jessop and Raymond ... |
May 11, 2013
Apr. 25, 2013 |
|
Securities
Breach of Promissory Note
Verdict:
-$1
|
-$1
Equitable Settlement |
Wells Fargo Investments LLC... |
Feb. 4, 2012
Jan. 6, 2012 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Lee Alfred Tripodi v. Worth... |
Jun. 8, 2013
May 20, 2013 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$1,030,545 (for Shemano Group) |
The Shemano Group Inc. (Cla... |
Oct. 27, 2007
Jul. 5, 2007 |
|
Securities
Violations of Exchange Act
Verdict:
$500,000,000
|
$500,000,000
|
Maine State Retirement Syst... |
May 18, 2013
Apr. 17, 2013 |
|
Securities
Violation of the Securities Act
Verdict:
$301,875
|
$301,875
|
Randall A. Tommerup, indivi... |
Jun. 1, 2013
Apr. 1, 2013 |
|
Securities
Securities Fraud
Verdict:
$2,800,000
|
$2,800,000
|
Securities and Exchange Com... |
Mar. 19, 2016
Feb. 23, 2016 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal (in part) |
Herbert R. Huber and Kathry... |
May 11, 2013
Apr. 24, 2013 |
|
Securities
Violation of California Securities Law
Verdict:
$800,000
|
$800,000
|
Bijan Dokhanian, Shahdokht ... |
Feb. 21, 2015
Oct. 13, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$3,487,240
|
$3,487,240
|
Diane Truly, individually a... |
Feb. 3, 2007
Nov. 28, 2006 |
|
Securities
Fraud
Verdict:
$1,182,840
|
$1,182,840
|
Consuelo B. Marshall | Thomas E. Snooks v. SRS Tec... |
Feb. 4, 1995
Oct. 24, 1994 |
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Dhruv Khanna, individually ... |
Jun. 4, 2016
Feb. 4, 2016 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Bernard Greenapple, individ... |
Feb. 3, 2007
Nov. 1, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,651,000
|
$1,651,000
|
Artek Media International I... |
Jun. 4, 2016
Jan. 29, 2016 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Larry McCumber and Joyce Mc... |
May 18, 2013
Apr. 30, 2013 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement Denied |
Mark Robert Fasano, UBS Fin... |
Jul. 4, 2014
Jun. 12, 2014 |
|
Securities
Breach of Promissory Note
Verdict:
$637,500
|
$637,500
|
Raymond J. Ikola | Confidential |
Jun. 24, 2000
Apr. 10, 2000 |
Securities
Securities Fraud
Verdict:
$500,000
|
$500,000
|
Securities and Exchange Com... |
Mar. 29, 2014
Mar. 10, 2014 |
|
Securities
Commodities
Verdict:
$624,000,000
|
$624,000,000
|
In re Countrywide Financial... |
Aug. 12, 2010
Jul. 31, 2010 |
|
Securities
Negligent Misrepresentation |
Expungement | Michael Harrison | Charles W. Morgan, individu... |
Oct. 6, 2017
Aug. 22, 2017 |
Securities
Breach of Contract |
Respondent | Brian B. Torsney Sr. | Bradley Aaron Sayre v. J.P.... |
Jan. 12, 2018
Aug. 3, 2017 |
Securities
Breach of Implied Covenant of Good Faith and Fair Dealing |
Respondent | David J. Anderson | Joseph Manuel Focil v. Well... |
Jan. 12, 2018
Aug. 17, 2017 |
Securities
Securities Fraud |
Plaintiff | Otis D. Wright II | Federal Trade Commission v.... |
Jan. 26, 2018
Oct. 23, 2017 |
Securities
Breach of Promissory Note
Verdict:
$323,353
|
$323,353
|
Herbert A. Schwartz | Morgan Stanley Smith Barney... |
Oct. 6, 2017
Aug. 7, 2017 |
Securities
Breach of Contract |
Respondent | Walter S. Schwartz | William James Lane v. Farme... |
Oct. 6, 2017
Jul. 27, 2017 |
Securities
Expungement |
Expungement | Robert E. Jenks Jr. | Jerald Joseph Halverson, Mi... |
Feb. 2, 2018
Dec. 6, 2017 |
Securities
Expungement |
Expungement Denied | Michael John Florio | Aaron A. DelSignore v. UBS ... |
Feb. 2, 2018
Dec. 28, 2017 |
Securities
Violation of the Protocol for Broker Recruiting |
Claimant | Evan A. Gould | Southwest Securities Inc. n... |
Oct. 6, 2017
Aug. 10, 2017 |
Securities
Securities Fraud
Verdict:
$147,019
|
$147,019
|
Robert E. Jenks Jr. | Donald Adams, Eleanor M. Re... |
Oct. 6, 2017
Aug. 15, 2017 |