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57359 Rulings

Topic Case Name Published / Result

Securities

Securities
Breach of Fiduciary Duty
Susan Coghlan, Hugh Cotter ... Nov. 10, 2017
    Sep. 25, 2017
Securities
Intentional and Negligent Misrepresentation/Concealment
Wan Yu Luo v. Ameriprise Fi... Nov. 10, 2017
    Sep. 18, 2017
Securities
Breach of Fiduciary Duty
Myron Allen, individually, ... Nov. 10, 2017
    Oct. 5, 2017
Securities
Breach of Fiduciary Duty
Ray Pollard, successor Trus... Nov. 10, 2017
    Sep. 21, 2017
Securities
Breach of Contract
Cyrus Tabaz v. Unionbanc In... Feb. 9, 2018
    Nov. 28, 2017
Securities
Fraud
Harold B. Garner Jr., Shirl... Aug. 25, 2017
    Jul. 21, 2017
Securities
CRD Records
William David Leven v. UBS ... Aug. 25, 2017
    Jul. 19, 2017
Securities
Unfair Competition
Verdict: $1,249,524
Charles Schwab & Co. Inc. v... Dec. 15, 2017
    Nov. 2, 2017
Securities
Breach of Fiduciary Duty
Mary C. Lee v. AXA Advisors... Feb. 2, 2018
    Dec. 4, 2017
Securities
Expungement
Alvin Sanders v. Ameriprise... Feb. 16, 2018
    Dec. 6, 2017
Securities
Negligent Misrepresentation
ABS Manager LLC v. Morgan S... Sep. 1, 2017
    Jul. 25, 2017
Securities
Employment
Verdict: -$1
U.S. Bancorp Investments In... Oct. 30, 2014
    Oct. 7, 2014
Securities
Expungement
Verdict: -$1
Gregory Allen Headrick v. U... May 30, 2013
    May 19, 2013
Securities
CRD Records
Shareholders Service Group ... Aug. 25, 2017
    Jul. 19, 2017
Securities
Negligence
David W. Appel Jr., Gimme S... Jan. 26, 2018
    Jan. 2, 2018
Securities
Securities Fraud
Verdict: $6,400,000
City of Warren Police and F... Sep. 15, 2017
    Jul. 28, 2017
Securities
Breach of Fiduciary Duty
Verdict: $50,000
Howard Brinkerhoff v. Charl... Dec. 22, 2017
    Nov. 9, 2017
Securities
Securities Fraud
Verdict: $19,000,000
Viswanath V. Shankar, indiv... Mar. 2, 2018
    Oct. 11, 2017
Securities
Negligence
Janet E. Russ, individually... Jan. 12, 2018
    Jul. 26, 2017
Securities
Expungement
Aaron A. DelSignore v. UBS ... Feb. 2, 2018
    Dec. 28, 2017
Securities
Breach of Fiduciary Duty
Jacqueline Peters v. Morgan... Nov. 10, 2017
    Oct. 10, 2017
Securities
Expungement
Xi Chen v. UBS Financial Se... Nov. 10, 2017
    Sep. 12, 2017
Securities
Breach of Fiduciary Duty
Ellen E. Robertson v. Morga... Jan. 12, 2018
    Aug. 2, 2017
Securities
Breach of Fiduciary Duty
Sujata Vyas v. First Affili... Nov. 10, 2017
    Sep. 9, 2017
Securities
Breach of Fiduciary Duty
Randall H. Moses v. Pruco S... Aug. 25, 2017
    Jul. 6, 2017
Securities
CRD Records
Charles Paul Reinhold v. HB... Aug. 25, 2017
    Jul. 17, 2017
Securities
Breach of Fiduciary Duty
Verdict: $125,000
Overview Productions Inc. v... Nov. 10, 2017
    Sep. 11, 2017
Securities
Unsuitability
Dwight Jay Hansen IRA, Dwig... Feb. 2, 2018
    Dec. 19, 2017
Securities
Employment
Jeffrey David Thoele v. Wal... Jan. 12, 2018
    Aug. 25, 2017
Securities
Employment
Paul Scott Selvin v. Merril... Jan. 12, 2018
    Aug. 17, 2017