56938 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement Denied | Edward Blumstein | Victoria Lynn Mueller v. Ch... |
Feb. 2, 2018
Nov. 21, 2017 |
|
Securities
Securities Fraud |
Respondent | Peter D. Steinbroner | William J. Roberts v. TD Am... |
Feb. 2, 2018
Dec. 1, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$663,898
|
$663,898
|
Philip A. Tymon | Shawn Scheuer v. Steven Phi... |
Feb. 9, 2018
Dec. 20, 2017 |
|
Securities
Defamation
Verdict:
$400,000
|
$400,000
|
Arthur T. Berggren | Michael William Sexton v. B... |
Feb. 9, 2018
Dec. 28, 2017 |
|
Securities
Expungement |
Expungement | Charles Michaels | Jon Ronald Springer v. Cete... |
Feb. 2, 2018
Dec. 18, 2017 |
|
Securities
Securities Fraud |
Respondent | Michael Lancaster Garcia | David Robert Bennette v. We... |
Jan. 26, 2018
Dec. 18, 2017 |
|
Securities
Expungement |
Expungement | Michael E. Rohde | Richard Brian French v. Mo... |
Jan. 26, 2018
Dec. 11, 2017 |
|
Securities
Breach of Contract |
Respondent | George L. Tindall | Cyrus Tabaz v. Unionbanc In... |
Feb. 9, 2018
Nov. 28, 2017 |
|
Securities
FINRA Rules |
Expungement | Robert F. Saint-Aubin | Christopher Alan Clark v. L... |
Feb. 9, 2018
Dec. 16, 2017 |
|
Securities
Unsuitability |
Dismissal | G.E. Craig Doupe | Dwight Jay Hansen IRA, Dwig... |
Feb. 2, 2018
Dec. 19, 2017 |
|
Securities
Fraud and Deceit |
Respondents | Elliott D. Finkel | Richard Long v. Ruben Cavad... |
Feb. 2, 2018
Dec. 29, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,176,000
|
$1,176,000
|
Barbara M. Anscher | Michael Gerard Rom v. Phili... |
Feb. 2, 2018
Nov. 22, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$2,157,243
|
$2,157,243
|
Janice L. Sperow | Donna Gambee v. David Lloyd... |
Feb. 2, 2018
Jan. 5, 2018 |
|
Securities
Expungement |
Expungement | Mark S. Priver | Mark Edward Schulten v. Cit... |
Feb. 16, 2018
Nov. 29, 2017 |
|
Securities
Securities Fraud
Verdict:
$19,000,000
|
$19,000,000
|
Phyllis J. Hamilton | Viswanath V. Shankar, indiv... |
Mar. 2, 2018
Oct. 11, 2017 |
|
Securities
Breach of Promissory Note
Verdict:
$6,796,240
|
$6,796,240
|
Barclays Capital Inc. v. Ma... |
Nov. 1, 2014
Oct. 3, 2014 |
|
|
Securities
Negligence |
Dismissal | David S. Billet | David W. Appel Jr., Gimme S... |
Jan. 26, 2018
Jan. 2, 2018 |
|
Securities
Breach of Fiduciary Duty |
Claimant | John Carter | Jacqueline Peters v. Morgan... |
Nov. 10, 2017
Oct. 10, 2017 |
|
Securities
Expungement |
Respondent | Arocles Aguilar | Xi Chen v. UBS Financial Se... |
Nov. 10, 2017
Sep. 12, 2017 |
|
Securities
Breach of Fiduciary Duty |
Dismissal | Mark R. Lee | Sujata Vyas v. First Affili... |
Nov. 10, 2017
Sep. 9, 2017 |
|
Securities
Fraud and Gross Negligence |
Respondent | Peter H. Daly | E. Thomas Clark Jr., aka El... |
Nov. 10, 2017
Sep. 11, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$1,012,000 (plus interest) |
Nickie Lee Silk as trustee ... |
Sep. 18, 2010
Aug. 10, 2010 |
|
|
Securities
Securities Fraud |
Dismissal | Susan G. Van Keulen | Mark Feathers v. U.S. Secur... |
Jun. 21, 2024
Mar. 19, 2024 |
|
Securities
Securities Exchange Act |
Defense | Mark C. Scarsi | William Baker, Jill Sligay,... |
Jun. 7, 2024
Mar. 5, 2024 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Feb. 9, 2013
Jan. 23, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Glenna L. Maguire, individu... |
Nov. 19, 2011
Nov. 2, 2011 |
|
|
Securities
Negligence
Verdict:
$65,000,000
|
$65,000,000
|
In re: AXA Rosenberg Invest... |
Jun. 2, 2012
Nov. 2, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Michael L. Kennedy 1998 Tru... |
May 28, 2016
Mar. 16, 2016 |
|
|
Securities
Breach of Contract
Verdict:
$120,250
|
$120,250
|
Melvin Dias, Evelyn Dias v.... |
Sep. 24, 2011
Jul. 11, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$601,500,000
|
$601,500,000
|
In re Countrywide Financial... |
Apr. 2, 2011
Mar. 4, 2011 |