57359 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Bart Sullivan Inc., Bart Su... |
Mar. 22, 2014
Mar. 4, 2014 |
|
|
Securities
Suitability |
Expungement | Kendall C. Reed | Jay Goldner and Denise Gold... |
Jun. 21, 2019
May 6, 2019 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Bob Rogers, in his individu... |
Dec. 28, 2018
Sep. 26, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$187,625 in compensatory damages, $63,000 in pre-judgment interest, and $40,000 in attorney fees. |
Todd D. Simon v. Oppenheime... |
Jun. 9, 2012
Sep. 7, 2011 |
|
|
Securities
Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Michael McPhail, Robert Bar... |
Mar. 7, 2009
Nov. 10, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$553,333
|
$553,333
|
Keith Cohn, M.D., individua... |
Mar. 26, 2011
Feb. 18, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$32,307
|
$32,307
|
Gilbert W. Lee, Gilbert W. ... |
Mar. 19, 2011
Feb. 18, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$3,500,000
|
$3,500,000
|
In re Provectus Biopharmace... |
Jul. 9, 2016
Apr. 7, 2016 |
|
|
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
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement recommended |
Kenneth E. Chyten v. United... |
Feb. 14, 2009
Jan. 23, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$45,000,000
|
$45,000,000
|
Jim Brown, individually and... |
Jun. 25, 2011
Feb. 24, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Diegel Family Living Trust ... |
Aug. 16, 2014
Jul. 28, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Defense |
Araceli Carmen Fonseca v. A... |
Mar. 26, 2011
Feb. 22, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$230,667
|
$230,667
|
Howard D. Coleman, individu... |
Apr. 9, 2011
Feb. 25, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Lisa Ann Detanna v. Margare... |
Apr. 16, 2011
Feb. 25, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$87,500
|
$87,500
|
Jose Cruz, IRA v. Citigroup... |
Feb. 7, 2009
Dec. 22, 2008 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Dismissal |
Richard S. Bondar, as Trust... |
Jun. 25, 2011
|
|
|
Securities
Breach of Promissory Note
Verdict:
$285,743
|
$285,743
|
Wells Fargo Advisors LLC fk... |
Jun. 4, 2011
May 2, 2011 |
|
|
Securities
Fraud
Verdict:
$1,760,100
|
$1,760,100
|
Andrew and Blenda Wright as... |
May 21, 2011
Apr. 27, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
Roland Lee v. CapWest Secur... |
Jun. 25, 2011
May 6, 2011 |
|
|
Securities
Negligence
Verdict:
$207,500
|
$207,500
|
Ken Kragen v. Wedbush Secur... |
Jun. 23, 2012
Apr. 12, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kelsey Phipps Living Trust ... |
Apr. 1, 2006
Dec. 24, 2005 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Kurtis Fechtmeyer v. Pacifi... |
Apr. 1, 2006
Aug. 31, 2005 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Plaintiff |
California State Teachers R... |
Apr. 2, 2011
Feb. 25, 2011 |
|
|
Securities
Negligent Misrepresentation
Verdict:
$0
|
$0
|
Thomas P. Anderle | Jack Jevne, et al. v. Solv-... |
May 4, 2002
Mar. 25, 2002 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
RESPONDENTS |
Howard Shannon | Leilah D. Schou v. RBC Dain... |
Apr. 22, 2006
Dec. 22, 2005 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent. |
Elliott Z. Seff | Landis S. Everson, Trustee ... |
May 27, 2006
Sep. 2, 2005 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents. |
William W. Haskell | Gulabben B. Patel v. Wells ... |
Apr. 22, 2006
Sep. 14, 2005 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Saadeh Corporation v. Merri... |
May 12, 2012
Oct. 4, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Sanofi-Aventis Securi... |
Feb. 8, 2014
Sep. 23, 2013 |