57905 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Milton N. Gross | Ariel Bobroff, Gary Robert ... |
Mar. 1, 2019
Dec. 24, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Deborah J. Hill, individual... |
Oct. 30, 2010
Oct. 2, 2010 |
|
|
Securities
Fraud
Verdict:
$1,400,000,000
|
$1,400,000,000
|
The People of the State of ... |
Jul. 10, 2010
Jun. 22, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Haywood S. Gilliam Jr. | In Re Aqua Metals Inc. Secu... |
Mar. 25, 2022
Mar. 8, 2022 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
James P. McGarry, Amethyst ... |
Jan. 26, 2013
Jan. 8, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bank of Nevada v. UBS Finan... |
Mar. 16, 2013
Mar. 5, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$35,750,000
|
$35,750,000
|
In re STEC Inc. Securities ... |
Mar. 23, 2013
Mar. 5, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Frank J. Fosbre Jr., indivi... |
Jan. 28, 2017
Jan. 3, 2017 |
|
|
Securities
Securities Exchange Act
Verdict:
$100,000,000
|
$100,000,000
|
Michael W. Fitzgerald | Matt Karinski, individually... |
May 20, 2022
Jan. 24, 2022 |
|
Securities
Securities Fraud
Verdict:
$36,105
|
$36,105
|
Belinda E. Bullock v. Wedbu... |
Mar. 19, 2011
Jan. 27, 2011 |
|
|
Securities
Verdict:
$157,000
|
$157,000
|
John A. Kronstadt | Securities and Exchange Com... |
Oct. 23, 2020
Sep. 21, 2020 |
|
Securities
Securities Exchange Act
Verdict:
$4,175,000
|
$4,175,000
|
Edward J. Davila | In re: Restoration Robotics... |
Jan. 13, 2023
Sep. 9, 2021 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Sandra L. Liebhaber v. Roya... |
Oct. 25, 2014
Sep. 10, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Ikho Kang, Unsoon K. Kang v... |
Dec. 6, 2008
Oct. 17, 2008 |
|
|
Securities
Breach of Contract
Verdict:
$476,583
|
$476,583
|
Thomas J. Hewkin, Kathy S. ... |
May 2, 2015
Mar. 19, 2015 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Justin Paperny v. Damon Dav... |
Dec. 15, 2012
Nov. 20, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$55,500
|
$55,500
|
Securities and Exchange Com... |
Oct. 25, 2014
Aug. 28, 2014 |
|
|
Securities
Expungement |
Expungement | John J. Fitzpatrick Jr. | Daniel Shiek Ahmad v. Natio... |
Mar. 23, 2018
Jan. 12, 2018 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Wells Fargo Investments, LL... |
Oct. 28, 2006
Apr. 21, 2006 |
|
|
Securities
Securities Exchange Act
Verdict:
$900,000
|
$900,000
|
Gonzalo P. Curiel | Bar Mandalevy, individually... |
Mar. 11, 2022
Jan. 31, 2022 |
|
Securities
Employment |
Expungement | Jeffrey R. Jury | Kevin Brooks Kugley v. Meri... |
Oct. 6, 2017
Aug. 4, 2017 |
|
Securities
Violation of the Securities Act
Verdict:
$6,500,000
|
$6,500,000
|
Tommy Jay Carter v. Affymax... |
Sep. 20, 2014
Aug. 28, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Idelji Corporation Defined ... |
Jan. 19, 2013
Dec. 21, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Jay Knapp, Reva Knapp, The ... |
Oct. 15, 2011
Sep. 19, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$435,383
|
$435,383
|
Patrick "Brian" FitzWilliam... |
Sep. 7, 2013
Aug. 15, 2013 |
|
|
Securities
Securities Exchange Act |
Dismissal | Gonzalo P. Curiel | LifeVoxel Virginia SPV LLC;... |
May 30, 2025
Dec. 31, 2024 |
|
Securities
Expungement |
Claimant | Virgil John Threlkeld v. Fi... |
Aug. 14, 2020
Jun. 10, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$428,800
|
$428,800
|
Jason Solomon and Janet Sol... |
Jul. 23, 2011
May 27, 2011 |
|
|
Securities
FINRA Rules |
Expungement | Robert D. Sussin | Michael David Kanigher v. U... |
Feb. 9, 2018
Dec. 8, 2017 |
|
Securities
Expungement |
Expungement | Elliott D. Finkel | Duncan Earl Rolph v. City N... |
May 3, 2019
Mar. 6, 2019 |