57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Negligence
Verdict:
-$1
|
-$1
Mixed |
Anthony and Debra Hanna, in... |
May 12, 2012
Oct. 13, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Bobby Dean Taylor v. Banc o... |
Apr. 1, 2006
Nov. 23, 2005 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Defense |
Life Receivables Ireland, L... |
May 5, 2012
May 4, 2011 |
|
|
Securities
Securities Fraud |
Respondent | Lyle LaMothe v. Merrill Lyn... |
May 29, 2020
Feb. 25, 2020 |
|
|
Securities
Expungement |
Expungement | Robert D. Sussin | David Munho Choi v. LPL Fin... |
Mar. 27, 2020
Jan. 29, 2020 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$4,570,520
|
$4,570,520
|
Guadalupe Sandoval, Javier ... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Justin Paperny v. Damon Dav... |
Dec. 15, 2012
Nov. 20, 2012 |
|
|
Securities
NASD
Verdict:
$82,750
|
$82,750
|
J. Jeffrey Donnell v. Citig... |
Dec. 23, 2006
Apr. 11, 2006 |
|
|
Securities
Negligence
Verdict:
$275,987
|
$275,987
|
Shirley Peltier v. Cullum &... |
Jan. 16, 2016
Nov. 19, 2015 |
|
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Denial |
Bobby Karim Panahi v. UBS F... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Securities Exchange Act |
Dismissal | Philip S. Gutierrez | In re: Pharmacielo Ltd. Sec... |
Dec. 9, 2022
Jan. 12, 2022 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Susan C. Dumas v. E*Trade S... |
Jul. 26, 2014
Jun. 27, 2014 |
|
|
Securities
Stocks
Verdict:
$622,000
|
$622,000
|
Donald H. Brown v. Fidelity... |
Jul. 7, 2012
Jun. 4, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Irving J. Nast v. Equities ... |
Jan. 16, 2016
Nov. 24, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$640,000
|
$640,000
|
George H. Wu | Scott C. Hartman, individua... |
Aug. 12, 2022
Feb. 18, 2021 |
|
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
NASD
Verdict:
-$1
|
-$1
Defense |
Paul F. Faberman | Darlene Darata v. McClurg C... |
Dec. 9, 2006
Sep. 27, 2006 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Lisa E. Coppola v. Juniper ... |
Jun. 1, 2013
May 17, 2013 |
|
|
Securities
Employment
Verdict:
$222,750
|
$222,750
|
Joseph Alan Seidler v. Kevi... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$857,314
|
$857,314
|
Securities and Exchange Com... |
Aug. 30, 2014
May 22, 2014 |
|
|
Securities
Negligence
Verdict:
$442,072
|
$442,072
|
Snow E. Jaynes, individuall... |
Sep. 14, 2013
Aug. 30, 2013 |
|
|
Securities
Expungement |
Expungement | Matt Ward v. Euro Pacific C... |
May 24, 2019
Apr. 16, 2019 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,250,000
|
$3,250,000
|
Susan Y. Illston | Jay Rabkin, individually an... |
Jan. 25, 2019
Sep. 28, 2018 |
|
Securities
Securities Fraud |
Dismissal | R. Gary Klausner | Edward A. Berg, individuall... |
Nov. 5, 2021
Jan. 25, 2021 |
|
Securities
Securities Fraud
Verdict:
$2,600,000
|
$2,600,000
|
In the Matter of Total Weal... |
Oct. 10, 2015
Aug. 17, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Kevin D. Swenson | Doris Rudolph v. Merrill Ly... |
Apr. 22, 2006
Nov. 30, 2005 |
|
Securities
Employment
Verdict:
$61,100
|
$61,100
|
Daniel Becerra v. Oppenheim... |
Aug. 2, 2014
Jul. 2, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$31,000,000
|
$31,000,000
|
Vince G. Chhabria | Securities and Exchange Com... |
Feb. 28, 2025
Jan. 13, 2025 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Barnard Lewis Family Trust ... |
Jun. 30, 2012
May 29, 2012 |
|
|
Securities
Stocks
Verdict:
$10,000,000
|
$10,000,000
|
In Re Coventry Health Care ... |
Aug. 17, 2013
Jul. 15, 2013 |