57359 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Duty
Verdict:
$1,653,970
|
$1,653,970
|
John Erickson v. Edwin Torres |
Nov. 10, 2007
Aug. 23, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kathleen Chen v. Morgan Sta... |
Mar. 31, 2007
Jan. 30, 2007 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Injunction Denied |
Dixon v. Cost Plus Inc., et... |
Aug. 18, 2012
Jun. 27, 2012 |
|
|
Securities
Stocks
Verdict:
$3,750,000
|
$3,750,000
|
In re MBIA INC. Securities ... |
Oct. 27, 2012
Sep. 12, 2012 |
|
|
Securities
Fraud
Verdict:
$512,000
|
$512,000
|
Leonard Becker and Nancy Be... |
May 19, 2007
Jan. 17, 2007 |
|
|
Securities
NASD
Verdict:
$194,015
|
$194,015
|
Deanna Johnson, Clint A. Jo... |
Jun. 16, 2007
Jan. 2, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Michael L. Kennedy 1998 Tru... |
May 28, 2016
Mar. 16, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$60,000
|
$60,000
|
Securities and Exchange Com... |
Feb. 23, 2013
Feb. 6, 2013 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Wells Fargo Advisors, LLC v... |
Jan. 18, 2014
Dec. 23, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$3,668,740
|
$3,668,740
|
Bruce L. Hopper Rollover IR... |
Feb. 14, 2015
Jun. 3, 2014 |
|
|
Securities
Breach of Duty
Verdict:
$76,040
|
$76,040
|
James Coffey v. GunnAllen F... |
Feb. 23, 2013
Feb. 6, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$210,532
|
$210,532
|
Confidential |
Apr. 14, 2007
Jan. 17, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$386,144
|
$386,144
|
Diane Ford, Martha Nelson, ... |
Jun. 4, 2016
Feb. 9, 2016 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Harvey Jasny v. Morgan Stan... |
Apr. 28, 2007
Jan. 24, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$1,012,000 (plus interest) |
Nickie Lee Silk as trustee ... |
Sep. 18, 2010
Aug. 10, 2010 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Madhok Family Trust dated 1... |
Dec. 3, 2011
Nov. 10, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Randel Kendall, individuall... |
Feb. 20, 2010
Jan. 15, 2010 |
|
|
Securities
Breach of Promissory Note
Verdict:
$531,783
|
$531,783
|
Morgan Stanley Smith Barney... |
Feb. 2, 2013
Jan. 17, 2013 |
|
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
William Fieldman | Confidential |
Dec. 14, 1996
Nov. 1, 1996 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Netflix Inc., Securit... |
Mar. 2, 2013
Feb. 13, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Kline Enterprises Inc. v. S... |
Feb. 4, 2012
Jan. 6, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$202,300 (plus interest) |
Barbara J. Wammer, individu... |
Sep. 11, 2010
Aug. 12, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Dendreon Corporation ... |
May 30, 2013
Apr. 24, 2013 |
|
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
Ned B. Young | Amy Wellman and Harold Well... |
Feb. 18, 2006
Oct. 11, 2005 |
|
Securities
Fraud
Verdict:
$3,150,680
|
$3,150,680
|
Richman Bay v. Roger A. Fea... |
Jan. 9, 2010
Sep. 1, 2009 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Heather Carter Molin v. Pat... |
May 4, 2013
Apr. 19, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$66,800
|
$66,800
|
Thomas E. Turk, Thomas E. T... |
Mar. 21, 2009
Feb. 2, 2009 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Lisa Ann Detanna v. Wedbush... |
Aug. 23, 2014
Aug. 6, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$17,361
|
$17,361
|
Wells Fargo Advisors LLC fo... |
Sep. 18, 2010
Aug. 22, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Dhruv Khanna, individually ... |
Jun. 4, 2016
Feb. 4, 2016 |