57359 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Travis Jerome Hughes v. AXA... |
Feb. 1, 2019
Nov. 28, 2018 |
|
Securities
Verdict:
$50,000
|
$50,000
|
Beth L. Freeman | Securities and Exchange Com... |
Mar. 12, 2021
Feb. 11, 2021 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Steven Moreno v. Merrill Ly... |
May 24, 2019
Apr. 9, 2019 |
|
|
Securities
Securities Exchange Act |
Dismissal | Consuelo B. Marshall | Glen Barnes, individually a... |
Jan. 28, 2022
Apr. 6, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$1,181,868
|
$1,181,868
|
Philip S. Gutierrez | Securities and Exchange Com... |
Jun. 18, 2021
May 7, 2021 |
|
Securities
Breach of Fiduciary Duty |
Dismissal | Allen Kilik | Page Rowe v. Independent Fi... |
Feb. 1, 2019
Nov. 30, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$12,750,000
|
$12,750,000
|
Marilyn L. Huff | Kevin Kendall, Individually... |
Dec. 23, 2021
Dec. 3, 2021 |
|
Securities
Expungement |
Claimant | Michael Lancaster Garcia | Mark Clifford Richmond v. L... |
Dec. 27, 2019
Oct. 11, 2019 |
|
Securities
Breach of Contract
Verdict:
$36,569
|
$36,569
|
Mark C. Perry | ODS Capital LLC v. Wedbush ... |
Feb. 1, 2019
Nov. 29, 2018 |
|
Securities
Expungement |
Expungement | William W. Haskell | Keith Douglas Seibert v. Ci... |
Jan. 25, 2019
Dec. 7, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$100,000
|
$100,000
|
John F. Walter | Securities and Exchange Com... |
Apr. 5, 2019
Feb. 25, 2019 |
|
Securities
Securities Fraud |
Dismissal | Lucy H. Koh | Roger A. Ikeda, Individuall... |
Feb. 4, 2022
May 6, 2021 |
|
Securities
Breach of Fiduciary Duty |
Respondent | John R. Winans v. Centaurus... |
Mar. 20, 2020
Nov. 29, 2019 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | The Leonard and Gen Winton ... |
Mar. 13, 2020
Nov. 8, 2019 |
|
|
Securities
Expungement |
Expungement | Kevin K. Forrester | John Gregory Paffendorf v. ... |
Jan. 25, 2019
Dec. 7, 2018 |
|
Securities
|
Mary E. Wiss | State of California, ex rel... |
Nov. 8, 2019
Apr. 15, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$16,000,000
|
$16,000,000
|
Lucy H. Koh | SEB Investment Management A... |
Dec. 30, 2021
Nov. 2, 2021 |
|
Securities
Securities Exchange Act |
Dismissal | Amy D. Hogue | Yogina Rezko v. XBiotech In... |
Mar. 1, 2019
Nov. 27, 2018 |
|
Securities
Expungement |
Expungement | Terrance W. Arges v. LPL Fi... |
Mar. 20, 2020
Nov. 21, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$4,800,000
|
$4,800,000
|
Janis L. Sammartino | Karim Khoja, on behalf of h... |
Jun. 11, 2021
Apr. 22, 2021 |
|
Securities
Expungement |
Respondent | Cynthia Mary Couyoumjian v.... |
Mar. 13, 2020
Nov. 8, 2019 |
|
|
Securities
Expungement |
Expungement | Peter Ivan Michael Shusterm... |
Jun. 21, 2019
May 6, 2019 |
|
|
Securities
|
Expungement | Barbara M. Zak | Bonnie L. Hester (IRA), Jam... |
Mar. 1, 2019
Dec. 17, 2018 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Randall B. Christison | Barbara Freeman v. J.P. Mor... |
Feb. 1, 2019
Dec. 4, 2018 |
|
Securities
Breach of Fiduciary Duty |
Expungement | A. Joel Klein | Oscar Roberto Celasco, indi... |
Mar. 1, 2019
Jan. 5, 2019 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Michael M. Hachigian | William and Henry Associate... |
Mar. 1, 2019
Jan. 7, 2019 |
|
Securities
Expungement |
Claimant | George L. Tindall | Gal Sherman v. Equity Servi... |
Dec. 20, 2019
Oct. 10, 2019 |
|
Securities
Expungement |
Expungement | Barbara M. Zak | Adam Scot Goldstein v. Amer... |
Mar. 1, 2019
Dec. 28, 2018 |
|
Securities
Securities Exchange Act
Verdict:
$350,000,000
|
$350,000,000
|
Trina L. Thompson | In re Alphabet Inc. Securit... |
Nov. 22, 2024
Sep. 30, 2024 |
|
Securities
|
Alden S. Adkins | Lionel Albert Shaw v. Summi... |
Jan. 25, 2019
Dec. 7, 2018 |