57359 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Michael Shinkle v. Oak Tree... |
Dec. 9, 2006
Aug. 22, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Flaherty & Crumrine Preferr... |
Aug. 28, 2010
Jun. 23, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$12,206
|
$12,206
|
William W. Steckbauer, Trus... |
Oct. 15, 2011
Jan. 1, 2011 |
|
|
Securities
Lending
Verdict:
-$1
|
-$1
Mixed |
Pacific Select Fund v. Bank... |
Mar. 17, 2012
Jan. 30, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Michael S. Davis, Individua... |
Nov. 24, 2012
Nov. 6, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Letitia McKee Cooper, Coope... |
Feb. 4, 2017
Nov. 15, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Matthew Lam v. Charles Schw... |
Apr. 2, 2011
Mar. 14, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ronald L. Gershon | Patrick J. Schachle v. Merr... |
Dec. 9, 2006
Aug. 15, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$143,400
|
$143,400
|
Zvi Streit, The Streit Livi... |
Jun. 16, 2012
May 15, 2012 |
|
|
Securities
Employment
Verdict:
$61,100
|
$61,100
|
Daniel Becerra v. Oppenheim... |
Aug. 2, 2014
Jul. 2, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Jay Knapp, Reva Knapp, The ... |
Oct. 15, 2011
Sep. 19, 2011 |
|
|
Securities
Misrepresentation and Fraud
Verdict:
$0
|
$0
|
Paul M. Bryant Jr. | Robert and June Pierre, Ral... |
Nov. 27, 1993
Nov. 8, 1993 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$10,871
|
$10,871
|
Alice M. Potter v. Ameritas... |
Jun. 9, 2012
May 11, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$320,000
|
$320,000
|
Armande Desjariais v. Legac... |
Apr. 16, 2011
Mar. 17, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Charles Paddock, individual... |
May 16, 2015
Apr. 1, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Judy Durgin, Derivatively o... |
Feb. 11, 2017
Jan. 10, 2017 |
|
|
Securities
Fraud
Verdict:
$751,000
|
$751,000
|
Dzintra Janavs | Richard Crowther v. Richard... |
Oct. 31, 1998
Jul. 31, 1998 |
|
Securities
NASD
Verdict:
$51,446
|
$51,446
|
John J. George | Kelli Jones v. Salomon Smit... |
Dec. 23, 2006
May 2, 2006 |
|
Securities
Breach of Duty
Verdict:
$60,024
|
$60,024
|
Tatsuko Wein v. Wedbush Mor... |
Apr. 30, 2011
Mar. 18, 2011 |
|
|
Securities
Arbitration
Verdict:
$226,590
|
$226,590
|
Laurie J. Butler | Gertraude Nye v. First Sout... |
Nov. 29, 1997
Jul. 2, 1997 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
For Respondent |
The William Dale Kelly and ... |
Jun. 23, 2012
Sep. 29, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$321,933
|
$321,933
|
Citigroup Global Markets In... |
Jun. 18, 2011
May 5, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$160,500,000
|
$160,500,000
|
In re Broadcom Corp. Class ... |
Feb. 6, 2010
Dec. 29, 2009 |
|
|
Securities
Securities Fraud
Verdict:
$11,603,600
|
$11,603,600
|
Securities and Exchange Com... |
Feb. 25, 2017
Jan. 13, 2017 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
John Yarbrough v. Citigroup... |
Jan. 16, 2010
Dec. 10, 2009 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,850,000
|
$1,850,000
|
Josh Crystal, individually ... |
Feb. 18, 2017
Jan. 13, 2017 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Securities and Exchange Com... |
Aug. 9, 2014
Jun. 6, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kimon P. Daifotis v. Jinni ... |
Jun. 18, 2011
May 6, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
OC Partners Inc. v. RBC Dai... |
May 12, 2012
Oct. 6, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$350,000
|
$350,000
|
Frank Griswold v. Burch & C... |
Oct. 1, 2011
Aug. 25, 2011 |