57359 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Breach of Fiduciary Duty |
Expungement | Ralph L. Jacobson | Susan Coghlan, Hugh Cotter ... |
Nov. 10, 2017
Sep. 25, 2017 |
Securities
Intentional and Negligent Misrepresentation/Concealment |
Respondent | Kirtley M. Thiesmeyer | Wan Yu Luo v. Ameriprise Fi... |
Nov. 10, 2017
Sep. 18, 2017 |
Securities
Breach of Fiduciary Duty |
Respondent | Richard M. Norman | Myron Allen, individually, ... |
Nov. 10, 2017
Oct. 5, 2017 |
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Ray Pollard, successor Trus... |
Nov. 10, 2017
Sep. 21, 2017 |
Securities
Breach of Contract |
Respondent | George L. Tindall | Cyrus Tabaz v. Unionbanc In... |
Feb. 9, 2018
Nov. 28, 2017 |
Securities
Fraud |
Expungement | Christopher M. McMurray | Harold B. Garner Jr., Shirl... |
Aug. 25, 2017
Jul. 21, 2017 |
Securities
CRD Records |
Expungement | Raymond C. Kerr | William David Leven v. UBS ... |
Aug. 25, 2017
Jul. 19, 2017 |
Securities
Unfair Competition
Verdict:
$1,249,524
|
$1,249,524
|
Cheryl Marie Allain-Mee | Charles Schwab & Co. Inc. v... |
Dec. 15, 2017
Nov. 2, 2017 |
Securities
Breach of Fiduciary Duty |
Dismissal | Harry G. Mason | Mary C. Lee v. AXA Advisors... |
Feb. 2, 2018
Dec. 4, 2017 |
Securities
Expungement |
Expungement | Herbert Liberman | Alvin Sanders v. Ameriprise... |
Feb. 16, 2018
Dec. 6, 2017 |
Securities
Negligent Misrepresentation |
Defense | Elliott Z. Seff | ABS Manager LLC v. Morgan S... |
Sep. 1, 2017
Jul. 25, 2017 |
Securities
Employment
Verdict:
-$1
|
-$1
Counterclaim Denied |
U.S. Bancorp Investments In... |
Oct. 30, 2014
Oct. 7, 2014 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Gregory Allen Headrick v. U... |
May 30, 2013
May 19, 2013 |
|
Securities
CRD Records |
Expungement Denied | Herbert Liberman | Shareholders Service Group ... |
Aug. 25, 2017
Jul. 19, 2017 |
Securities
Negligence |
Dismissal | David S. Billet | David W. Appel Jr., Gimme S... |
Jan. 26, 2018
Jan. 2, 2018 |
Securities
Securities Fraud
Verdict:
$6,400,000
|
$6,400,000
|
Peter Kirwan | City of Warren Police and F... |
Sep. 15, 2017
Jul. 28, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$50,000
|
$50,000
|
George W. Harding | Howard Brinkerhoff v. Charl... |
Dec. 22, 2017
Nov. 9, 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
Negligence |
Expungement | Walter S. Schwartz | Janet E. Russ, individually... |
Jan. 12, 2018
Jul. 26, 2017 |
Securities
Expungement |
Expungement Denied | Michael John Florio | Aaron A. DelSignore v. UBS ... |
Feb. 2, 2018
Dec. 28, 2017 |
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 |
Expungement | David A. Schuler | Ellen E. Robertson v. Morga... |
Jan. 12, 2018
Aug. 2, 2017 |
Securities
Breach of Fiduciary Duty |
Dismissal | Mark R. Lee | Sujata Vyas v. First Affili... |
Nov. 10, 2017
Sep. 9, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | Michael J. Harrison | Randall H. Moses v. Pruco S... |
Aug. 25, 2017
Jul. 6, 2017 |
Securities
CRD Records |
Expungement | Richard J. Stall Jr. | Charles Paul Reinhold v. HB... |
Aug. 25, 2017
Jul. 17, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$125,000
|
$125,000
|
Robert D. Sussin | Overview Productions Inc. v... |
Nov. 10, 2017
Sep. 11, 2017 |
Securities
Unsuitability |
Dismissal | G.E. Craig Doupe | Dwight Jay Hansen IRA, Dwig... |
Feb. 2, 2018
Dec. 19, 2017 |
Securities
Employment |
Expungement Denied | Brett W. Olander | Jeffrey David Thoele v. Wal... |
Jan. 12, 2018
Aug. 25, 2017 |
Securities
Employment |
Expungement | Brian J. Gallagher | Paul Scott Selvin v. Merril... |
Jan. 12, 2018
Aug. 17, 2017 |