57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Melchor Gragirena, Karen Gr... |
Dec. 22, 2012
Nov. 19, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Alan Fenster, A Professiona... |
Apr. 2, 2011
Mar. 12, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$49,976
|
$49,976
|
Judith A. Malone v. Fidelit... |
Nov. 5, 2011
Jul. 30, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
R. Kent Emigh, individually... |
Aug. 27, 2011
Aug. 2, 2011 |
|
|
Securities
Securities Exchange Act |
Defense | Edward M. Chen | Ronald Sgarlata, individual... |
Feb. 8, 2019
Dec. 13, 2018 |
|
Securities
Expungement |
Expungement | George L. Tindall | Troy Nicholas Tremblay v. C... |
Mar. 15, 2019
Jan. 14, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$6,215
|
$6,215
|
Vincent R. and Tracie D. He... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$5,711,720
|
$5,711,720
|
Susan Alling, et al. v. Pac... |
Apr. 20, 2013
Apr. 5, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
William Feinstein v. Merril... |
Dec. 9, 2006
Sep. 21, 2006 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Expungement |
Noriel Anibal Campos v. Bet... |
Sep. 13, 2014
Aug. 27, 2014 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Albert Bayley Hoeflich, Edw... |
Jul. 4, 2014
Jun. 17, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$1,400,000,000
|
$1,400,000,000
|
People of the State of Cali... |
Apr. 3, 2010
Nov. 17, 2009 |
|
|
Securities
Breach of Promissory Note
Verdict:
$439,940
|
$439,940
|
Wells Fargo Advisors LLC v.... |
Apr. 20, 2013
Apr. 4, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$250,000 on respondents' counterclaim |
UBS Financial Services Inc.... |
Apr. 20, 2013
Apr. 2, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Liability only |
Securities and Exchange Com... |
Jul. 21, 2007
Mar. 7, 2007 |
|
|
Securities
Breach of Promissory Note
Verdict:
$873,232
|
$873,232
|
Wells Fargo Advisors LLC v.... |
Apr. 20, 2013
Mar. 27, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
$4,250,000
|
$4,250,000
|
Paul Luman, Individually an... |
Apr. 20, 2013
Feb. 8, 2013 |
|
|
Securities
Fraud
Verdict:
$13,500,000
|
$13,500,000
|
In re: Magma Design Automat... |
Jan. 10, 2009
May 15, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$100,000 upon assignment of interests in the Domin-8 investment |
Lawrence Ngou v. DeWaay Fin... |
Feb. 26, 2011
Jan. 19, 2011 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Respondent |
Jack Hoffman and Taeko Hoff... |
Apr. 13, 2013
Apr. 1, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$1,000,000
|
$1,000,000
|
James V. Selna | Jeffrey N. Schneider,Indivi... |
Jul. 14, 2023
Mar. 2, 2023 |
|
Securities
Violation of the Securities Act
Verdict:
$6,500,000
|
$6,500,000
|
Tommy Jay Carter v. Affymax... |
Sep. 20, 2014
Aug. 28, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$10,000,000
|
$10,000,000
|
Carl Stork v. John Textor, ... |
Apr. 13, 2013
Nov. 29, 2012 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Susi Orlean Bahat Family Tr... |
Sep. 20, 2014
Aug. 28, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$15,500,000
|
$15,500,000
|
In re Bridgepoint Education... |
Feb. 6, 2016
Dec. 21, 2015 |
|
|
Securities
Broker Negligence
Verdict:
$25,000
|
$25,000
|
Dolores Shira v. ML Stern &... |
Oct. 29, 2002
Aug. 27, 2002 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Claimant |
Grant Arthur Gochin v. UBS ... |
Jan. 24, 2015
Dec. 14, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$98,000,000
|
$98,000,000
|
In Re Mattel Inc. Securitie... |
Jul. 8, 2022
May 18, 2022 |
|
|
Securities
Securities Fraud
Verdict:
$10,000,000
|
$10,000,000
|
Larry A. Burns | Ervin Derr and Peter Shoema... |
Sep. 23, 2022
Aug. 15, 2022 |
|
Securities
Stocks
Verdict:
$22,500,000
|
$22,500,000
|
In re Pall Corp. Securities... |
Oct. 20, 2012
Aug. 20, 2012 |