57359 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Violation of the Securities Act
Verdict:
$2,125,000
|
$2,125,000
|
Zachary Lewy, Sampson Daruv... |
Aug. 31, 2013
Aug. 5, 2013 |
|
Securities
Unfair Business Practices
Verdict:
$151,506
|
$151,506
|
Martina Hutchinson, individ... |
Mar. 8, 2014
Feb. 10, 2014 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Scott Lambert, Laura Lamber... |
Mar. 15, 2014
Feb. 11, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$210,641
|
$210,641
|
Vallone Family 1985 Trust, ... |
Jan. 15, 2011
Dec. 16, 2010 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Massachusetts Mutual Life I... |
Sep. 1, 2012
Apr. 16, 2012 |
|
Securities
Breach of Contract
Verdict:
$1,165,000
|
$1,165,000
|
Albertus Niehuis Jr., Andre... |
May 24, 2014
Apr. 30, 2014 |
|
Securities
Violations of Exchange Act
Verdict:
$4,250,000
|
$4,250,000
|
Paul Luman, Individually an... |
Apr. 20, 2013
Feb. 8, 2013 |
|
Securities
Securities Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Wayne C. Conlee, individual... |
Mar. 8, 2014
Jan. 21, 2014 |
|
Securities
Breach of Promissory Note
Verdict:
$873,232
|
$873,232
|
Wells Fargo Advisors LLC v.... |
Apr. 20, 2013
Mar. 27, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Richard Amtower v. Photon D... |
Jul. 15, 2006
May 5, 2006 |
|
Securities
NASD
Verdict:
$50,000
|
$50,000
|
John P. and Ana Jahn, Trust... |
Nov. 11, 2006
Jan. 23, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Tribank Capital Investments... |
Oct. 8, 2011
Jul. 18, 2011 |
|
Securities
Securities Fraud
Verdict:
$2,600,000
|
$2,600,000
|
In the Matter of Total Weal... |
Oct. 10, 2015
Aug. 17, 2015 |
|
Securities
Securities Fraud
Verdict:
$5,711,720
|
$5,711,720
|
Susan Alling, et al. v. Pac... |
Apr. 20, 2013
Apr. 5, 2013 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Stichting Pensioenfonds ABP... |
Sep. 1, 2012
Aug. 9, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Carolyn Erskine v. Michael ... |
Dec. 20, 2014
Nov. 18, 2014 |
|
Securities
Securities Fraud
Verdict:
$2,400,000
|
$2,400,000
|
In the Matter of Wedbush Se... |
Feb. 14, 2015
Nov. 20, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$155,450
|
$155,450
|
John C. Jones v. Wells Farg... |
Jun. 12, 2010
May 20, 2010 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Third Party claim/counterclaim denied |
Alejandro M. Arredondo, Eli... |
Dec. 13, 2014
Nov. 19, 2014 |
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Lewis Wilder, as Trustee fo... |
Oct. 18, 2014
Mar. 31, 2014 |
|
Securities
Breach of Duty
Verdict:
$750,000
|
$750,000
|
Kay Family Revocable Trust ... |
Jan. 15, 2011
Dec. 14, 2010 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$53,000
|
$53,000
|
Lynda Adee v. Wachovia Secu... |
Jan. 15, 2011
Dec. 14, 2010 |
|
Securities
Breach of Contract
Verdict:
$50,000
|
$50,000
|
Deanna Lynn Buchholz v. Cam... |
May 24, 2014
Apr. 28, 2014 |
|
Securities
Securities Fraud
Verdict:
$19,500,000
|
$19,500,000
|
City of Pontiac General Emp... |
Mar. 9, 2013
Feb. 19, 2013 |
|
Securities
Employment
Verdict:
-$1
|
-$1
$411,624 to Respondent |
Charles Tom Lawson v. Morga... |
May 17, 2014
Apr. 21, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$304,639
|
$304,639
|
Ronald S. Beard and Karin G... |
Jan. 15, 2011
Dec. 13, 2010 |
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Armando Palomino v. Wells F... |
May 31, 2014
Apr. 23, 2014 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Thomas Frances Nelson v. UB... |
Jan. 3, 2015
Apr. 29, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ronald L. Pelley v. Charles... |
Feb. 20, 2010
Jan. 21, 2010 |
|
Securities
Breach of Contract
Verdict:
$4,503
|
$4,503
|
SharesPost Financial Corp. ... |
Oct. 31, 2015
Sep. 12, 2015 |