57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Nov. 8, 2014
Oct. 15, 2014 |
|
|
Securities
Securities Fraud |
Respondent | Steven H. Gentry | Christina Billington as Suc... |
May 3, 2019
Mar. 8, 2019 |
|
Securities
Expungement |
Expungement | Robert D. Sussin | Albert Alan Aizin v. Syndic... |
May 3, 2019
Mar. 23, 2019 |
|
Securities
Stocks
Verdict:
$1,750,000
|
$1,750,000
|
Securities and Exchange Com... |
Dec. 8, 2012
Oct. 26, 2012 |
|
|
Securities
Fraud
Verdict:
$113,817
|
$113,817
|
Banc of America Investment ... |
Nov. 24, 2012
Oct. 30, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Michael S. Davis, Individua... |
Nov. 24, 2012
Nov. 6, 2012 |
|
|
Securities
Breach of Promissory Note
Verdict:
$3,539,060
|
$3,539,060
|
Barclays Capital Inc. v. Za... |
Dec. 1, 2012
Nov. 5, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
James E. Wilks, Pamela R. W... |
Dec. 1, 2012
Nov. 6, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
David Shamsian, Roya Shamsi... |
Feb. 4, 2017
Nov. 3, 2016 |
|
|
Securities
Expungement |
Respondent | Arocles Aguilar | Xi Chen v. UBS Financial Se... |
Nov. 10, 2017
Sep. 12, 2017 |
|
Securities
Negligence
Verdict:
$309,750
|
$309,750
|
Paul Azarian, Loreta Azaria... |
Apr. 12, 2014
Mar. 21, 2014 |
|
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
Ned B. Young | Amy Wellman and Harold Well... |
Feb. 18, 2006
Oct. 11, 2005 |
|
Securities
Fraud
Verdict:
$2,600,000
|
$2,600,000
|
Bruce Belodoff v. Netlist I... |
Nov. 27, 2010
Nov. 18, 2009 |
|
|
Securities
Commodities |
Dismissal | William H. Orrick III | John E. Golub, individually... |
Jan. 24, 2020
Sep. 3, 2019 |
|
Securities
Breach of Promissory Note
Verdict:
$533,535
|
$533,535
|
Wells Fargo Investments, LL... |
Jul. 31, 2010
Jun. 22, 2010 |
|
|
Securities
Unfair Competition
Verdict:
$100,000,000
|
$100,000,000
|
Federal Trade Commission v.... |
Jan. 7, 2017
Dec. 19, 2016 |
|
|
Securities
Securities Exchange Act
Verdict:
$24,000,000
|
$24,000,000
|
Fred W. Slaughter | Securities and Exchange Com... |
Mar. 15, 2024
Feb. 9, 2023 |
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Nabil Athanassious, Janette... |
Mar. 1, 2014
Feb. 4, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Phillip Parriott, as Truste... |
Mar. 1, 2014
Feb. 3, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$4,000
|
$4,000
|
Larry Rabineau v. Donald Al... |
May 20, 2017
Apr. 5, 2017 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal (in part) |
Herbert R. Huber and Kathry... |
May 11, 2013
Apr. 24, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Herbert Liberman | Joan Haevernick v. Merrill ... |
Aug. 25, 2017
Jun. 28, 2017 |
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
National Integrity Life Ins... |
Jan. 19, 2013
Jun. 29, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claimants |
Friedman, et al. v. Brewste... |
Feb. 12, 2011
Jan. 7, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Charles C. Patton v. Wells ... |
Oct. 30, 2010
Oct. 8, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Soleiman Ghalili v. Steven ... |
May 28, 2016
Mar. 28, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Eugene Canino, Elizabeth Ca... |
May 28, 2016
Mar. 21, 2016 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Christopher Gaertner, Jacqu... |
Dec. 28, 2013
Nov. 22, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,651,000
|
$1,651,000
|
Artek Media International I... |
Jun. 4, 2016
Jan. 29, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Brown Family Trust v. Wells... |
May 28, 2016
Feb. 8, 2016 |