57359 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Michael McPhail, Robert Bar... |
Mar. 7, 2009
Nov. 10, 2008 |
|
|
Securities
Fraud
Verdict:
$3,393,180
|
$3,393,180
|
Securities and Exchange Com... |
May 14, 2011
Aug. 12, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$8,500,000
|
$8,500,000
|
Joe M. Wiley, individually ... |
Jul. 25, 2015
Jun. 22, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$14,900,000
|
$14,900,000
|
In Re Hot Topic Inc. Securi... |
Jul. 25, 2015
Jun. 30, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$444,000
|
$444,000
|
Edward Blackoff, Trustee of... |
May 7, 2011
Apr. 6, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Infineon Technologies... |
May 7, 2011
Mar. 17, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Dismissal |
Carolyn Turner v. Robert H.... |
May 28, 2011
Apr. 15, 2011 |
|
|
Securities
Fraud
Verdict:
$1,760,100
|
$1,760,100
|
Andrew and Blenda Wright as... |
May 21, 2011
Apr. 27, 2011 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Respondent |
Charles Schwab & Co. Inc. v... |
Sep. 20, 2014
Aug. 25, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent Stone liable, all other claims denied. |
Amardeep Misha, Elizabeth T... |
Feb. 14, 2009
Jan. 16, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement recommended |
Kenneth E. Chyten v. United... |
Feb. 14, 2009
Jan. 23, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$87,500
|
$87,500
|
Jose Cruz, IRA v. Citigroup... |
Feb. 7, 2009
Dec. 22, 2008 |
|
|
Securities
Broker Negligence
Verdict:
$25,000
|
$25,000
|
Dolores Shira v. ML Stern &... |
Oct. 29, 2002
Aug. 27, 2002 |
|
|
Securities
Fraud
Verdict:
$55,000
|
$55,000
|
Securities and Exchange Com... |
Dec. 27, 2008
May 20, 2008 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Dorothy Wade, on Behalf of ... |
Oct. 16, 2010
Sep. 28, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$35,750,000
|
$35,750,000
|
In re STEC Inc. Securities ... |
Mar. 23, 2013
Mar. 5, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondents liable |
Ronald W. May, Kathryn R. C... |
Jan. 3, 2009
Nov. 20, 2008 |
|
|
Securities
Securities Fraud
Verdict:
$706,733
|
$706,733
|
Securities And Exchange Com... |
Apr. 30, 2016
Apr. 7, 2016 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
George Sardeson, Florence T... |
Dec. 30, 2006
Apr. 21, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Joan Levin v. Wedbush Morga... |
Jan. 27, 2007
Apr. 11, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$3,262,300
|
$3,262,300
|
Stephen A. Whittington, et ... |
Jan. 24, 2009
Nov. 3, 2008 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Supplemental Disclosures |
Suzanne Newman, individuall... |
Mar. 1, 2014
Jan. 28, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$117,000,000
|
$117,000,000
|
In re HealthSouth Corp. Sec... |
Feb. 12, 2011
May 12, 2010 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Ernest C. Coneen, The Conee... |
Jul. 4, 2014
Jan. 29, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$35,952
|
$35,952
|
Daryl Olson v. John Francis... |
Feb. 8, 2014
Jan. 22, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$18,442
|
$18,442
|
Jordan H. Moffet, Margot A.... |
Nov. 27, 2010
Nov. 9, 2010 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Split Decision |
Securities and Exchange Com... |
Nov. 27, 2010
Sep. 24, 2010 |
|
|
Securities
Derivative Suit
Verdict:
$26,650,000
|
$26,650,000
|
Anne D. Manos, James N. Mer... |
Nov. 27, 2010
Sep. 1, 2010 |
|
|
Securities
Fraud
Verdict:
$8,500,000
|
$8,500,000
|
In re Spectranetics Corpora... |
Mar. 5, 2011
Sep. 11, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
Roland Lee v. CapWest Secur... |
Jun. 25, 2011
May 6, 2011 |