57909 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty |
Expungement Denied | Thaddeus J. Tecza | Roger Scott Talman and Cath... |
Mar. 15, 2019
Jan. 21, 2019 |
|
Securities
Securities Exchange Act |
Defense | Lucy H. Koh | Jacob McGovney, et al. v. A... |
Mar. 22, 2019
Feb. 5, 2019 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Edward Jones v. John C. Lin... |
Aug. 10, 2013
Jul. 29, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Richard Amtower v. Photon D... |
Jul. 15, 2006
May 5, 2006 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
David W. Ramey, Trustee v. ... |
May 3, 2014
Apr. 8, 2014 |
|
|
Securities
Expungement |
Claimant | Robert W. Huntley v. LPL Fi... |
Feb. 7, 2020
Nov. 15, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,333,930
|
$1,333,930
|
Hooman Moshar and May Mosha... |
Jan. 26, 2013
Jan. 9, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Virginia A. Phillips | Gilberto Ferreira, individu... |
Oct. 7, 2022
Jul. 22, 2022 |
|
Securities
Securities Fraud
Verdict:
$33,750,000
|
$33,750,000
|
Jan Buettgen v. Katherine J... |
Jul. 20, 2013
Jul. 2, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Karl Townsend, Karen Fann T... |
Oct. 20, 2012
Sep. 25, 2012 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Expungement |
Richard W. Barrett v. J.P M... |
Oct. 20, 2012
Sep. 24, 2012 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Jerry Etter v. Todd Lindley... |
Jan. 31, 2020
Nov. 14, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$450,000
|
$450,000
|
Bernard Krasnow | Confidential |
Oct. 12, 1996
Aug. 22, 1996 |
|
Securities
Breach of Duty
Verdict:
$750,000
|
$750,000
|
Kay Family Revocable Trust ... |
Jan. 15, 2011
Dec. 14, 2010 |
|
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Denial |
Bobby Karim Panahi v. UBS F... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Expungement |
Expungement | Richard W. Vallario | Rushdi Zalatimo v. J.P. Tur... |
Dec. 14, 2018
Oct. 10, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$53,000
|
$53,000
|
Lynda Adee v. Wachovia Secu... |
Jan. 15, 2011
Dec. 14, 2010 |
|
|
Securities
NASD
Verdict:
$50,000
|
$50,000
|
John P. and Ana Jahn, Trust... |
Nov. 11, 2006
Jan. 23, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Richman Bry Jr. v. Kevin Ja... |
Nov. 3, 2012
Oct. 4, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$304,639
|
$304,639
|
Ronald S. Beard and Karin G... |
Jan. 15, 2011
Dec. 13, 2010 |
|
|
Securities
Fraud
Verdict:
$249,071
|
$249,071
|
Kent E. Wilson, Michael D. ... |
Jul. 8, 2006
May 10, 2006 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Jaleh Miller v. Wells Fargo... |
May 20, 2017
Apr. 11, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$4,000
|
$4,000
|
Larry Rabineau v. Donald Al... |
May 20, 2017
Apr. 5, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Tribank Capital Investments... |
Oct. 8, 2011
Jul. 18, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$210,641
|
$210,641
|
Vallone Family 1985 Trust, ... |
Jan. 15, 2011
Dec. 16, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$4,570,520
|
$4,570,520
|
Guadalupe Sandoval, Javier ... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Employment
Verdict:
$222,750
|
$222,750
|
Joseph Alan Seidler v. Kevi... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$506,497
|
$506,497
|
Wedbush Securities Inc. v. ... |
Nov. 6, 2014
Oct. 4, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Timothy Tutko v. Wendy Adai... |
Jan. 12, 2013
Dec. 20, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$542,768
|
$542,768
|
Jesus G. Bernal | Securities and Exchange Com... |
Oct. 8, 2021
Aug. 4, 2021 |