57359 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Richman Bry Jr. v. Kevin Ja... |
Nov. 3, 2012
Oct. 4, 2012 |
|
|
Securities
NASD
Verdict:
$375
|
$375
|
Brian Barsky v. Wells Fargo... |
Dec. 23, 2006
Oct. 13, 2006 |
|
|
Securities
NASD
Verdict:
$179,840
|
$179,840
|
Robert M. Lubin | Lawrence Marcus v. Trautman... |
Dec. 2, 2006
Sep. 30, 2006 |
|
Securities
Misrepresentation and Fraud
Verdict:
$0
|
$0
|
Paul M. Bryant Jr. | Robert and June Pierre, Ral... |
Nov. 27, 1993
Nov. 8, 1993 |
|
Securities
Arbitration
Verdict:
$226,590
|
$226,590
|
Laurie J. Butler | Gertraude Nye v. First Sout... |
Nov. 29, 1997
Jul. 2, 1997 |
|
Securities
Stocks
Verdict:
$23,500,000
|
$23,500,000
|
In re Constar International... |
Nov. 17, 2012
Sep. 14, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$127,944
|
$127,944
|
George Putnam v. Citigroup ... |
Sep. 24, 2011
Aug. 20, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Joseph Curry, individually ... |
May 16, 2015
Apr. 21, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Gerhard Rohloff individuall... |
Nov. 3, 2012
Oct. 5, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$247,000
|
$247,000
|
Lucy Mattinen, John Mattine... |
Nov. 3, 2012
Oct. 3, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$150,000
|
$150,000
|
Steve Roof v. Sterling C. S... |
May 30, 2015
Apr. 21, 2015 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ronald L. Gershon | Patrick J. Schachle v. Merr... |
Dec. 9, 2006
Aug. 15, 2006 |
|
Securities
NASD
Verdict:
$9,500
|
$9,500
|
Wells Fargo Investments, LL... |
Dec. 2, 2006
May 1, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Move Inc. v. Citigroup Glob... |
May 23, 2015
Sep. 22, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$262,586
|
$262,586
|
Prudential Equity Group, LL... |
Dec. 6, 2008
Oct. 8, 2008 |
|
|
Securities
Breach of Promissory Note
Verdict:
$533,535
|
$533,535
|
Wells Fargo Investments, LL... |
Jul. 31, 2010
Jun. 22, 2010 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
The Donald J. Adams Trust v... |
May 23, 2015
Mar. 13, 2015 |
|
|
Securities
Falsification of Records
Verdict:
-$1
|
-$1
Mixed Result |
Department of Market Regula... |
Jul. 9, 2016
Apr. 4, 2016 |
|
|
Securities
NASD
Verdict:
$339,974
|
$339,974
|
Dolores White, individually... |
Dec. 30, 2006
Apr. 13, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Jay Knapp, Reva Knapp, The ... |
Oct. 15, 2011
Sep. 19, 2011 |
|
|
Securities
Negligence
Verdict:
$442,072
|
$442,072
|
Snow E. Jaynes, individuall... |
Sep. 14, 2013
Aug. 30, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Michael Shinkle v. Oak Tree... |
Dec. 9, 2006
Aug. 22, 2006 |
|
|
Securities
Breach of Promissory Note
Verdict:
$163,751
|
$163,751
|
Morgan Stanley Smith Barney... |
Dec. 21, 2013
Nov. 19, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Countrywide Financial... |
Sep. 14, 2013
Aug. 26, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Christopher Gaertner, Jacqu... |
Dec. 28, 2013
Nov. 22, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$90,474
|
$90,474
|
Charles Schwab & Co., Inc. ... |
Apr. 14, 2007
Jul. 28, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$361,017
|
$361,017
|
Lehman Brothers Holdings In... |
Nov. 3, 2012
Sep. 28, 2012 |
|
|
Securities
Commodities
Verdict:
$7,000,000
|
$7,000,000
|
Plumbers and Pipefitters Lo... |
Sep. 8, 2012
Nov. 14, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$350,000
|
$350,000
|
Frank Griswold v. Burch & C... |
Oct. 1, 2011
Aug. 25, 2011 |
|
|
Securities
Stocks
Verdict:
$622,000
|
$622,000
|
Donald H. Brown v. Fidelity... |
Jul. 7, 2012
Jun. 4, 2012 |