57905 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Teresa Sue Harmon v. Wells ... |
May 24, 2014
May 2, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In Re Apple Reits Litigation |
May 4, 2013
Apr. 3, 2013 |
|
|
Securities
Expungement |
Claimant | George L. Tindall | Steven Craig Henningson v. ... |
Nov. 29, 2019
Oct. 8, 2019 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Ronald Cey, Frances Cey, Gi... |
Jun. 11, 2016
Apr. 27, 2016 |
|
|
Securities
Securities Fraud |
Dismissal | Maxine M. Chesney | In re Wells Fargo & Company... |
Mar. 4, 2022
Feb. 7, 2022 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Deborah Alliano v. Kelley S... |
Feb. 14, 2020
Dec. 19, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Floyd Matheney IRA, Mary Ma... |
May 4, 2013
Apr. 12, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Barnard Lewis Family Trust ... |
Jun. 30, 2012
May 29, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Thomas Frances Nelson v. UB... |
Jan. 3, 2015
Apr. 29, 2014 |
|
|
Securities
Fraud
Verdict:
$338,000
|
$338,000
|
Rose Kramer, Stanley Kramer... |
Jun. 16, 2012
May 25, 2012 |
|
|
Securities
Expungement |
Claimant | Chiu-Ni Wang v. LPL Financi... |
Nov. 20, 2020
Oct. 2, 2020 |
|
|
Securities
Financial Elder Abuse
Verdict:
$1,797,054
|
$1,797,054
|
A. Joel Klein | Agatha Dancy, individually ... |
Sep. 8, 2017
Jul. 12, 2017 |
|
Securities
Securities Fraud
Verdict:
$1,900,000
|
$1,900,000
|
Securities and Exchange Com... |
Jul. 28, 2012
May 8, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
NAK Investments LLC v. Horm... |
Jun. 23, 2012
May 7, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Fred McKay, as Trustee for ... |
Mar. 21, 2015
Feb. 24, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$12,750,000
|
$12,750,000
|
Marilyn L. Huff | Kevin Kendall, Individually... |
Dec. 23, 2021
Dec. 3, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$4,570,520
|
$4,570,520
|
Guadalupe Sandoval, Javier ... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Employment
Verdict:
$222,750
|
$222,750
|
Joseph Alan Seidler v. Kevi... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Fraud
Verdict:
$15,500,000
|
$15,500,000
|
In re Syncor International ... |
Mar. 14, 2009
Oct. 8, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$8,319,233
|
$8,319,233
|
Move Inc. v. Citigroup Glob... |
Mar. 6, 2020
May 20, 2019 |
|
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Ronald Mark Daly v. Piper J... |
Dec. 15, 2017
Nov. 6, 2017 |
|
Securities
Negligent Misrepresentation
Verdict:
$0
|
$0
|
Thomas P. Anderle | Jack Jevne, et al. v. Solv-... |
May 4, 2002
Mar. 25, 2002 |
|
Securities
Unfair Business Practices
Verdict:
$500,000,000
|
$500,000,000
|
David H. Luther, individual... |
May 4, 2013
Apr. 17, 2013 |
|
|
Securities
Fraud
Verdict:
$173,000,000
|
$173,000,000
|
Securities and Exchange Com... |
May 22, 2010
May 7, 2010 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Claimant |
Grant Arthur Gochin v. UBS ... |
Jan. 24, 2015
Dec. 14, 2014 |
|
|
Securities
Professional Malpractice
Verdict:
$12,617
|
$12,617
|
Eileen B. Cohen, Allen A. C... |
Nov. 26, 2011
Nov. 10, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$160,500,000
|
$160,500,000
|
In re Broadcom Corp. Class ... |
Feb. 6, 2010
Dec. 29, 2009 |
|
|
Securities
Expungement |
Expungement | George L. Tindall | Troy Nicholas Tremblay v. C... |
Mar. 15, 2019
Jan. 14, 2019 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
John Yarbrough v. Citigroup... |
Jan. 16, 2010
Dec. 10, 2009 |
|
|
Securities
Securities Fraud
Verdict:
$2,819,692
|
$2,819,692
|
Jeffrey S. White | Securities and Exchange Com... |
Jun. 24, 2022
Apr. 11, 2022 |