57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$70,000
|
$70,000
|
Michael Freese v. Waveland ... |
Apr. 15, 2017
Feb. 28, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$500,000
|
$500,000
|
Barbara Morris, individuall... |
Apr. 15, 2017
Mar. 21, 2017 |
|
|
Securities
Unfair Business Practices
Verdict:
-$1
|
-$1
Non-Prosecution Agreement |
U.S. Securities and Exchang... |
May 11, 2013
Apr. 19, 2013 |
|
|
Securities
Fraud
Verdict:
$73,150,000
|
$73,150,000
|
Securities and Exchange Com... |
Nov. 6, 2010
Oct. 16, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Equitable Settlement |
Wells Fargo Advisors Financ... |
Jan. 29, 2011
Dec. 29, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$7,924,240
|
$7,924,240
|
Securities and Exchange Com... |
May 25, 2013
Apr. 26, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal (in part) |
Herbert R. Huber and Kathry... |
May 11, 2013
Apr. 24, 2013 |
|
|
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
Verdict:
$477,867
|
$477,867
|
Alison Gordon, as Successor... |
Jan. 29, 2011
Dec. 31, 2010 |
|
|
Securities
Securities Fraud |
Defense | Araceli Martinez-Olguin | Aramic LLC v. Revance Thera... |
Oct. 2, 2025
Jan. 17, 2025 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
William Feinstein v. Merril... |
Dec. 9, 2006
Sep. 21, 2006 |
|
|
Securities
Expungement |
Expungement | Terrance W. Arges v. LPL Fi... |
Mar. 20, 2020
Nov. 21, 2019 |
|
|
Securities
Breach of Contract
Verdict:
$17,384
|
$17,384
|
Harvest & Rowe Inc. Retirem... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Joseph Curry, individually ... |
May 16, 2015
Apr. 21, 2015 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | William M. Samsel | Peter R. de Castro v. UBS F... |
Oct. 6, 2017
Aug. 29, 2017 |
|
Securities
Securities Fraud
Verdict:
$150,000
|
$150,000
|
Steve Roof v. Sterling C. S... |
May 30, 2015
Apr. 21, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Move Inc. v. Citigroup Glob... |
May 23, 2015
Sep. 22, 2014 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
The Donald J. Adams Trust v... |
May 23, 2015
Mar. 13, 2015 |
|
|
Securities
Negligent Misrepresentation |
Expungement | Michael Harrison | Charles W. Morgan, individu... |
Oct. 6, 2017
Aug. 22, 2017 |
|
Securities
Breach of Promissory Note
Verdict:
$713,230
|
$713,230
|
Wells Fargo Advisors, LLC, ... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Lisa E. Coppola v. Juniper ... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Misrepresentation and Fraud
Verdict:
$0
|
$0
|
Paul M. Bryant Jr. | Robert and June Pierre, Ral... |
Nov. 27, 1993
Nov. 8, 1993 |
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Dismissal |
Lawrence Zucker v. Marc L. ... |
Jul. 28, 2012
Jun. 22, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement denied |
Carol Saunders v. Susan N. ... |
Oct. 31, 2015
Jul. 8, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph S. Mizrahi, individu... |
Oct. 24, 2015
Sep. 3, 2015 |
|
|
Securities
Breach of Contract
Verdict:
$40,890
|
$40,890
|
KBS Capital Markets Group L... |
Apr. 15, 2017
Mar. 8, 2017 |
|
|
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:
$2,000,000
|
$2,000,000
|
Maxine M. Chesney | Ajay Malhotra, individually... |
Dec. 31, 2020
Nov. 6, 2020 |
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Denial |
Bobby Karim Panahi v. UBS F... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Negligence |
Dismissal | David S. Billet | David W. Appel Jr., Gimme S... |
Jan. 26, 2018
Jan. 2, 2018 |