56938 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
Kevin D. Swenson | Doris Rudolph v. Merrill Ly... |
Apr. 22, 2006
Nov. 30, 2005 |
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
U.S. Securities and Exchang... |
Sep. 29, 2012
Aug. 27, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
John Reber and Brenda Reber... |
Sep. 22, 2012
Aug. 24, 2012 |
|
|
Securities
Wrongful Termination
Verdict:
-$1
|
-$1
Defense |
Albert S. Chen v. Deutsche ... |
Mar. 12, 2011
Feb. 3, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Voluntary Dismissal |
Joseph J. Bevilacqua, as Tr... |
Mar. 5, 2011
Feb. 5, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiff |
Securities and Exchange Com... |
Mar. 5, 2011
Feb. 3, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$36,105
|
$36,105
|
Belinda E. Bullock v. Wedbu... |
Mar. 19, 2011
Jan. 27, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$18,442
|
$18,442
|
Jordan H. Moffet, Margot A.... |
Nov. 27, 2010
Nov. 9, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$6,500,000
|
$6,500,000
|
People of the State of Cali... |
Mar. 12, 2011
Feb. 2, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Sanofi-Aventis Securi... |
Feb. 8, 2014
Sep. 23, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal; Equitable Agreement |
Melvin R. Aoki, Melvin R. A... |
Mar. 19, 2011
Feb. 3, 2011 |
|
|
Securities
Violation of the Securities Act
Verdict:
$14,000,000
|
$14,000,000
|
Linda Wong, individually an... |
Feb. 8, 2014
Oct. 4, 2013 |
|
|
Securities
Negligent Misrepresentation
Verdict:
$3,850,000
|
$3,850,000
|
Anne Ellington | Baldwin, et al. v. Greenber... |
Nov. 23, 1993
Oct. 26, 1993 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph E. Czarnecki, Nancy ... |
Feb. 8, 2014
Jan. 14, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$8,750,000
|
$8,750,000
|
Samuel Hildenbrand, on beha... |
Feb. 8, 2014
Mar. 1, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$20,000,000
|
$20,000,000
|
Bhushan Athale, individuall... |
Feb. 8, 2014
May 16, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Equitable Settlement |
Damien Moore v. Charles Sch... |
May 26, 2012
Apr. 17, 2012 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Dismissal |
Merrill Lynch, Pierce, Fenn... |
Feb. 1, 2014
Jan. 10, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$3,000,000
|
$3,000,000
|
Burt Weston, on behalf of h... |
Feb. 8, 2014
Dec. 16, 2013 |
|
|
Securities
Unfair Business Practices
Verdict:
-$1
|
-$1
Equitable Agreement |
James W. Edwards derivative... |
Sep. 6, 2014
May 19, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Sharyl J. Lee, individually... |
Apr. 27, 2013
Apr. 9, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Steven Badeau; Geneva BCCX ... |
May 26, 2012
Apr. 9, 2012 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Donald Stunkart v. Edward J... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
-$1
|
-$1
Defense |
U.S Securities and Exchange... |
Jan. 4, 2014
Dec. 10, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
$5,000,000
|
$5,000,000
|
Securities and Exchange Com... |
Feb. 1, 2014
Jan. 9, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Phillip Parriott, as Truste... |
Mar. 1, 2014
Feb. 3, 2014 |
|
|
Securities
Employment
Verdict:
$241,226
|
$241,226
|
Morgan Stanley & Co. Inc. v... |
Jan. 25, 2014
Jan. 3, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
John Shishko Revocable Trus... |
Jan. 25, 2014
Jan. 6, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Berman Klein Realty Associa... |
Jan. 11, 2014
Dec. 30, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Stanley Clifton Brooks, Bro... |
Jan. 18, 2014
Dec. 10, 2013 |