56938 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Alfred W. Richardson IRA, A... |
Aug. 11, 2012
Jul. 10, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$778,333
|
$778,333
|
Dan Katz, individually and ... |
Aug. 3, 2013
Jul. 12, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$437,626
|
$437,626
|
Manuel Bernal, Jean Bernal,... |
Oct. 22, 2011
Jul. 25, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Richard Klein v. Charies Sc... |
Apr. 6, 2013
Mar. 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Bernard Greenapple, individ... |
Feb. 3, 2007
Nov. 1, 2006 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Louis Saadeh, individually ... |
Dec. 20, 2014
May 21, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$550,505
|
$550,505
|
The Selan Family Trust dd A... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal with Leave to Amend |
Cement & Concrete Workers D... |
Aug. 24, 2013
Aug. 9, 2013 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Martin Brookes v. Matthew J... |
Sep. 22, 2012
Aug. 30, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
$57,000,000 (as of May 3, 2010) |
In re Sequenom, Inc. Securi... |
Sep. 4, 2010
Aug. 27, 2010 |
|
|
Securities
Stocks
Verdict:
$329,239
|
$329,239
|
Joan Kushner, Michael Eggim... |
Sep. 22, 2012
Aug. 30, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Grimm v. E*Trade Securities... |
Mar. 9, 2013
Feb. 25, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
K&M Dattani Irrevocable Tru... |
Apr. 6, 2013
Mar. 22, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
$2,125,000
|
$2,125,000
|
Zachary Lewy, Sampson Daruv... |
Aug. 31, 2013
Aug. 5, 2013 |
|
|
Securities
Sale of Business
Verdict:
$301,000
|
$301,000
|
Ernest M. Hiroshige | Robert Sagehorn, Thomas Sag... |
Sep. 3, 2005
Jul. 1, 2005 |
|
Securities
Breach of Contract
Verdict:
$1,165,000
|
$1,165,000
|
Albertus Niehuis Jr., Andre... |
May 24, 2014
Apr. 30, 2014 |
|
|
Securities
Fraud
Verdict:
$726,000
|
$726,000
|
Michael L. Stern | Linda Wang v. Charles Xue |
Sep. 3, 2005
Apr. 6, 2005 |
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Dismissal |
Stephanie Mallen v. Alphate... |
Aug. 31, 2013
Mar. 28, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$873,232
|
$873,232
|
Wells Fargo Advisors LLC v.... |
Apr. 20, 2013
Mar. 27, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$250,000 on respondents' counterclaim |
UBS Financial Services Inc.... |
Apr. 20, 2013
Apr. 2, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$439,940
|
$439,940
|
Wells Fargo Advisors LLC v.... |
Apr. 20, 2013
Apr. 4, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Wayne C. Conlee, individual... |
Mar. 8, 2014
Jan. 21, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Fred H. Guenther Jr. v. Cro... |
Aug. 17, 2013
Aug. 1, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Lewis Wilder, as Trustee fo... |
Oct. 18, 2014
Mar. 31, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Scott Lambert, Laura Lamber... |
Mar. 15, 2014
Feb. 11, 2014 |
|
|
Securities
Unfair Business Practices
Verdict:
$151,506
|
$151,506
|
Martina Hutchinson, individ... |
Mar. 8, 2014
Feb. 10, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Preliminary Injunction Denied |
Robert Masters, individuall... |
Mar. 15, 2014
Feb. 12, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Mathew Zuckerman, Intermoun... |
Sep. 3, 2011
Mar. 30, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$750,000
|
$750,000
|
Hillcrest Children's Center... |
May 31, 2014
May 12, 2014 |