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56938 Rulings

Topic Case Name Published / Result

Securities

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