56938 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent |
Christopher A. Sanguigni v.... |
Nov. 15, 2014
Oct. 22, 2014 |
|
Securities
Securities Exchange Act |
Dismissal | Susan Y. Illston | Electrical Workers Pension ... |
Dec. 17, 2021
Sep. 15, 2021 |
Securities
Expungement |
Expungement | Elliott D. Finkel | Duncan Earl Rolph v. City N... |
May 3, 2019
Mar. 6, 2019 |
Securities
Securities Exchange Act |
Expungement | Janice L. Sperow | John Coughlin v. Stifel, Ni... |
Jan. 11, 2019
Oct. 17, 2018 |
Securities
Verdict:
$10,691,500
|
$10,691,500
|
Cormac J. Carney | Securities and Exchange Com... |
Apr. 16, 2021
Jan. 20, 2021 |
Securities
Securities Exchange Act |
Permanent Injunction | Percy Anderson | Securities and Exchange Com... |
Aug. 12, 2022
May 27, 2022 |
Securities
Securities Fraud |
Defense | Yvonne Gonzalez Rogers | Christopher Hamilton, et al... |
Apr. 30, 2021
Apr. 5, 2021 |
Securities
Securities Exchange Act |
Dismissal | James C. Mahan | Mingbo Cai, Individually an... |
Aug. 28, 2020
Jul. 10, 2020 |
Securities
Breach of Contract |
Expungement | George H. Frisch | Medhat Yacoub v. Fidelity B... |
Jun. 14, 2019
May 1, 2019 |
Securities
Violations of Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
In re Wonder Auto Technolog... |
Feb. 9, 2013
Jan. 15, 2013 |
|
Securities
Securities Fraud
Verdict:
$542,121
|
$542,121
|
Josephine L. Staton | Securities and Exchange Com... |
Jan. 17, 2025
Sep. 12, 2024 |
Securities
Breach of Contract
Verdict:
$1,000,000
|
$1,000,000
|
Jefferies, LLC v. Jon Alan ... |
May 31, 2019
Apr. 8, 2019 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Nov. 8, 2014
Oct. 15, 2014 |
|
Securities
Securities Fraud |
Respondent | Steven H. Gentry | Christina Billington as Suc... |
May 3, 2019
Mar. 8, 2019 |
Securities
Securities Fraud
Verdict:
$7,000,000
|
$7,000,000
|
Beth L. Freeman | In re Extreme Networks Inc.... |
Apr. 5, 2019
Nov. 30, 2018 |
Securities
Securities Fraud
Verdict:
$6,283,079
|
$6,283,079
|
Richard Seeborg | Securities and Exchange Com... |
Apr. 11, 2025
Jul. 25, 2024 |
Securities
Expungement |
Expungement | Robert D. Sussin | Albert Alan Aizin v. Syndic... |
May 3, 2019
Mar. 23, 2019 |
Securities
Breach of Fiduciary Duty |
Equitable Settlement | Thomas E. Kuhnle | Robert Shaffer, derivativel... |
Apr. 5, 2019
Jan. 18, 2019 |
Securities
Securities Exchange Act |
Mixed Verdict | Andrew J. Guilford | Hsing Ching Hsu, individual... |
Mar. 22, 2019
Feb. 4, 2019 |
Securities
Breach of Fiduciary Duty |
Expungement | Thomas L. Marshall | Norman Lipson v. RBC Capita... |
Apr. 5, 2019
Feb. 7, 2019 |
Securities
Expungement |
Expungement | Robert D. Sussin | Aaron Douglas Maurer v. RP ... |
Mar. 22, 2019
Dec. 22, 2018 |
Securities
Expungement |
Claimant | Steven Phillip Margulin v. ... |
Jun. 19, 2020
Apr. 16, 2020 |
|
Securities
|
Defense | Glenn R. Salter | Ahmed D. Hussein v. Sheldon... |
Aug. 13, 2021
Jul. 29, 2021 |
Securities
Securities Exchange Act
Verdict:
$700,000
|
$700,000
|
Charles R. Breyer | Securities and Exchange Com... |
Jul. 2, 2021
Jun. 9, 2021 |
Securities
Expungement |
Claimant | Michael Lancaster Garcia | Mark Clifford Richmond v. L... |
Dec. 27, 2019
Oct. 11, 2019 |
Securities
Securities Exchange Act |
Dismissal | M. James Lorenz | James Jiao and Samuel Nunez... |
Apr. 24, 2020
Feb. 28, 2020 |
Securities
Breach of Fiduciary Duty |
Dismissal | Allen Kilik | Page Rowe v. Independent Fi... |
Feb. 1, 2019
Nov. 30, 2018 |
Securities
Securities Fraud
Verdict:
$90,535
|
$90,535
|
Mark C. Scarsi | Securities and Exchange Com... |
Jan. 8, 2021
Dec. 8, 2020 |
Securities
Securities Fraud
Verdict:
$1,250,000
|
$1,250,000
|
Beth L. Freeman | Spencer Wong, Individually ... |
Apr. 23, 2021
Mar. 25, 2021 |
Securities
Securities Exchange Act
Verdict:
$1,000,000
|
$1,000,000
|
Haywood S. Gilliam Jr. | Christopher Vataj v. Willia... |
Jul. 23, 2021
Apr. 20, 2021 |