57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
$110,000
|
$110,000
|
The Delp Heritage Trust v. ... |
Aug. 16, 2014
Jul. 22, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$890,814
|
$890,814
|
Morgan Stanley Smith Barney... |
Apr. 20, 2013
Apr. 8, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Kenneth A. Kinko | Gerald Montiel v. Newbridge... |
Dec. 9, 2006
Aug. 3, 2006 |
|
Securities
Securities Fraud
Verdict:
$24,000,000
|
$24,000,000
|
William H. Alsup | Julia Junge and Richard Jun... |
Oct. 21, 2022
Sep. 6, 2022 |
|
Securities
Expungement |
Expungement | William W. Haskell | Keith Douglas Seibert v. Ci... |
Jan. 25, 2019
Dec. 7, 2018 |
|
Securities
Securities Fraud
Verdict:
$22,250,000
|
$22,250,000
|
Edward M. Chen | Jonathan Davis and Roei Aza... |
Oct. 21, 2022
Apr. 14, 2022 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Wilson Humphries Jr., Carol... |
Nov. 1, 2014
Oct. 3, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
U.S. Securities and Exchang... |
Sep. 29, 2012
Aug. 27, 2012 |
|
|
Securities
Securities Fraud |
Dismissal | Lucy H. Koh | Roger A. Ikeda, Individuall... |
Feb. 4, 2022
May 6, 2021 |
|
Securities
Securities Fraud
Verdict:
$4,500,000
|
$4,500,000
|
David Shapiro, individually... |
Jun. 1, 2013
May 1, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Permanent Injunction |
United States Securities an... |
Jan. 24, 2015
Apr. 24, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$385,000
|
$385,000
|
Paul E. Dahlman | Philip Harper and Amanda Ha... |
Mar. 1, 2019
Jan. 3, 2019 |
|
Securities
Expungement |
Expungement | Mary M. Bush | Stephen Mark Seewer v. Well... |
Mar. 1, 2019
Dec. 17, 2018 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
John Reber and Brenda Reber... |
Sep. 22, 2012
Aug. 24, 2012 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Arthur Young Cooper, David ... |
May 2, 2015
Mar. 27, 2015 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Justin Paperny v. Damon Dav... |
Dec. 15, 2012
Nov. 20, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ronald L. Pelley v. Charles... |
Feb. 20, 2010
Jan. 21, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Bernd Liebergesell, Annette... |
Aug. 16, 2014
Jul. 21, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Brad A. Baggarly, SEP-IRA v... |
Jul. 2, 2011
May 9, 2011 |
|
|
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | In re Nektar Therapeutics S... |
Jan. 22, 2021
Dec. 30, 2020 |
|
Securities
Breach of Contract
Verdict:
$1,246,160
|
$1,246,160
|
Agnes Barrelet IRA, Agnes C... |
Jun. 28, 2014
Jun. 11, 2014 |
|
|
Securities
Expungement |
Expungement | Ralph L. Halpern | Marc Alan Johnson v. Wells ... |
Mar. 8, 2019
Dec. 14, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement; Dismissal |
Robert N. Stephens Living T... |
Mar. 26, 2011
Feb. 14, 2011 |
|
|
Securities
|
Claimant | Al Zvinakis as Holder of FP... |
Jan. 3, 2020
Oct. 18, 2019 |
|
|
Securities
Breach of Contract
Verdict:
$63,655,200
|
$63,655,200
|
Rosen Capital Partners LP, ... |
Sep. 24, 2011
Jun. 30, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
RESPONDENTS |
Howard Shannon | Leilah D. Schou v. RBC Dain... |
Apr. 22, 2006
Dec. 22, 2005 |
|
Securities
Breach of Contract
Verdict:
$254,700
|
$254,700
|
Carol Marini v. Marcelle Lo... |
Aug. 4, 2012
Jun. 25, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Robert Paul v. Peter Shieh ... |
Nov. 18, 2006
Sep. 7, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$450,000
|
$450,000
|
The Tanya Martino Trust UAD... |
Mar. 17, 2007
Nov. 10, 2006 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Rick Cooper v. Richard Anth... |
Jun. 21, 2014
Jun. 4, 2014 |