56938 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
James Eischen, Nada Eischen... |
Sep. 24, 2011
Jul. 5, 2011 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Maged T. Ebrahim v. E-Trade... |
Aug. 13, 2016
Apr. 20, 2016 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Joseph Sanberg v. Fidelity ... |
Aug. 20, 2016
May 26, 2016 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Marc C. Seward v. Securitie... |
Aug. 20, 2016
May 24, 2016 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement Denied |
Arthur A. Torrellas, First ... |
Aug. 20, 2016
May 12, 2016 |
|
Securities
Securities Fraud
Verdict:
$100,000,000
|
$100,000,000
|
In re HP Securities Litigation |
Jul. 18, 2015
Jun. 9, 2015 |
|
Securities
Securities Fraud
Verdict:
$38,000,000
|
$38,000,000
|
In re Questcor Pharmaceutic... |
Jul. 11, 2015
May 27, 2015 |
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement Denied |
Randall Larry Krenzin v. Me... |
Jun. 27, 2015
Mar. 4, 2015 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Jun. 27, 2015
Mar. 6, 2015 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Levi Nagel v. UBS Financial... |
Jun. 27, 2015
Apr. 27, 2015 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Jason Roberts Coles v. Fide... |
Oct. 26, 2013
Oct. 10, 2013 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Bruce Stewart, Trustee of t... |
Oct. 26, 2013
Oct. 9, 2013 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Tom Garcia v. Fidelity Brok... |
Oct. 26, 2013
Oct. 10, 2013 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Lantaya Valencia West Weave... |
Nov. 2, 2013
Oct. 14, 2013 |
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Cement Masons & Plasterers ... |
Jul. 20, 2013
Jun. 12, 2013 |
|
Securities
Employment
Verdict:
$4,286,120
|
$4,286,120
|
Michael Paul Farah v. Wedbu... |
Oct. 12, 2013
Sep. 25, 2013 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Dana K. Anderson and Nancy ... |
Oct. 12, 2013
Sep. 25, 2013 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Seymour Berger and Barbara ... |
Sep. 21, 2013
Sep. 9, 2013 |
|
Securities
Securities Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Martin J. Fuller, individua... |
Dec. 7, 2013
Aug. 2, 2013 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Corinne DeGiorgio Fond v. M... |
Jun. 27, 2015
Apr. 27, 2015 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claims Denied |
Ellen L. Brown v. Neuberger... |
Aug. 13, 2011
Jun. 9, 2011 |
|
Securities
Securities Fraud
Verdict:
$1,618,880
|
$1,618,880
|
Preferred Scan Inc., Alex N... |
Mar. 7, 2015
Jan. 27, 2015 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Rodolfo C. and Maria O. Del... |
Mar. 21, 2015
Feb. 19, 2015 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Jay H. Mintz, IRA Rollover,... |
Mar. 20, 2010
Feb. 2, 2010 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
William and Ellen Byrns Tru... |
Nov. 2, 2013
Oct. 14, 2013 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Royal Park Investments SA/N... |
Aug. 9, 2014
Jul. 14, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
The Brown Revocable Living ... |
Oct. 1, 2011
Jul. 14, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,030
|
$80,030
|
David Jeffrey Herman v. Mos... |
Jun. 23, 2012
Oct. 10, 2011 |
|
Securities
Negligence
Verdict:
$323,122
|
$323,122
|
D Vollstedt & S Vollstedt T... |
Oct. 1, 2011
Jul. 12, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,200,000
|
$1,200,000
|
Henry Kankowski, Patrice Ka... |
Sep. 24, 2011
Jul. 5, 2011 |