57359 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
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
Suitability
Verdict:
-$1
|
-$1
Expungement |
Brent R. Allan, Deborah B. ... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Violation of the Securities Act
Verdict:
$14,000,000
|
$14,000,000
|
Linda Wong, individually an... |
Feb. 8, 2014
Oct. 4, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Steven Badeau; Geneva BCCX ... |
May 26, 2012
Apr. 9, 2012 |
|
|
Securities
Unfair Business Practices
Verdict:
$108,000
|
$108,000
|
Willie L. Benning v. Cambri... |
Jan. 17, 2015
Jul. 30, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Saadeh Corporation v. Merri... |
May 12, 2012
Oct. 4, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$32,500,000
|
$32,500,000
|
Massachusetts Bricklayers a... |
May 19, 2012
Apr. 24, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Moshe Shram, Hanna Shram v.... |
Dec. 24, 2010
Nov. 18, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$8,500,000
|
$8,500,000
|
In Re Cytrx Corporation Sec... |
Feb. 20, 2016
Jan. 20, 2016 |
|
|
Securities
Breach of Promissory Note
Verdict:
$285,743
|
$285,743
|
Wells Fargo Advisors LLC fk... |
Jun. 4, 2011
May 2, 2011 |
|
|
Securities
Fraud
Verdict:
$8,500,000
|
$8,500,000
|
In re Spectranetics Corpora... |
Mar. 5, 2011
Sep. 11, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$16,250,000
|
$16,250,000
|
Marcelo Cunha v. Hansen Nat... |
Aug. 16, 2014
Jul. 28, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$11,558,100
|
$11,558,100
|
Larry Hagman, individually;... |
Oct. 30, 2010
Oct. 11, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$191,694
|
$191,694
|
Betsy Van Hees v. Cowen & C... |
Oct. 30, 2010
Oct. 7, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Kevin D. Swenson | Doris Rudolph v. Merrill Ly... |
Apr. 22, 2006
Nov. 30, 2005 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissed with prejudice |
Ronald D. Hershey, Kara L. ... |
Feb. 28, 2009
May 20, 2008 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
U.S. Securities and Exchang... |
Sep. 29, 2012
Jul. 31, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$6,500,000
|
$6,500,000
|
People of the State of Cali... |
Mar. 12, 2011
Feb. 2, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Voluntary Dismissal |
Joseph J. Bevilacqua, as Tr... |
Mar. 5, 2011
Feb. 5, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Jeffrey Franklin, Moose Pro... |
Apr. 27, 2013
Apr. 10, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$1,700,000
|
$1,700,000
|
Robert Scott v. Zst Digital... |
May 4, 2013
Mar. 27, 2013 |
|
|
Securities
Derivative Suit
Verdict:
$26,650,000
|
$26,650,000
|
Anne D. Manos, James N. Mer... |
Nov. 27, 2010
Sep. 1, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiff |
Securities and Exchange Com... |
Mar. 5, 2011
Feb. 3, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Charles C. Patton v. Wells ... |
Oct. 30, 2010
Oct. 8, 2010 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Ralph Rugolo v. Peter Antho... |
Apr. 27, 2013
Apr. 11, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Split Decision |
Securities and Exchange Com... |
Nov. 27, 2010
Sep. 24, 2010 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
William Feinstein v. Merril... |
Dec. 9, 2006
Sep. 21, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Kendall C. Reed | Roger Richman v. Citigroup ... |
Apr. 15, 2006
Oct. 21, 2005 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent |
Leprino Foods Co. v. BNY Me... |
Nov. 3, 2012
Oct. 9, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Tamer Salameh, et al., v. T... |
Apr. 30, 2011
Apr. 12, 2011 |