56938 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Negligence |
Dismissal | David S. Billet | David W. Appel Jr., Gimme S... |
Jan. 26, 2018
Jan. 2, 2018 |
Securities
Expungement |
Expungement | Martin M. Van Luven | Stephen Gerard Rossi Sr. v.... |
Dec. 15, 2017
Nov. 1, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | Herbert Liberman | Joan Haevernick v. Merrill ... |
Aug. 25, 2017
Jun. 28, 2017 |
Securities
Breach of Promissory Note
Verdict:
$34,800
|
$34,800
|
Nancy J. Spieczny | Wells Fargo Advisors LLC v.... |
Aug. 25, 2017
Jul. 11, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$685,579
|
$685,579
|
Ralph A. Cotton | Bonnie Bolle, individually ... |
Jan. 26, 2018
Dec. 20, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement Denied | James D. Knotter | Gordon Mapes, et al. v. Rya... |
Jan. 12, 2018
Jun. 2, 2017 |
Securities
Breach of Fiduciary Duty |
Dismissal | Harry G. Mason | Mary C. Lee v. AXA Advisors... |
Feb. 2, 2018
Dec. 4, 2017 |
Securities
Negligent Misrepresentation |
Defense | Elliott Z. Seff | ABS Manager LLC v. Morgan S... |
Sep. 1, 2017
Jul. 25, 2017 |
Securities
Employment |
Respondent | Steven Gourley | Farid Morim v. J.P. Morgan ... |
Sep. 1, 2017
May 20, 2017 |
Securities
Breach of Fiduciary Duty |
Expungement | Edward A. Trabin | Ronnie Harper, individually... |
Sep. 1, 2017
Jun. 2, 2017 |
Securities
Breach of Fiduciary Duty
Verdict:
$663,898
|
$663,898
|
Philip A. Tymon | Shawn Scheuer v. Steven Phi... |
Feb. 9, 2018
Dec. 20, 2017 |
Securities
Securities Exchange Act
Verdict:
$29,500,000
|
$29,500,000
|
Yvonne Gonzalez Rogers | Babak Hatamian, Lussu Dennj... |
Nov. 24, 2017
Oct. 25, 2017 |
Securities
Fraud |
Respondent | Benjamin F. Breslauer | Jorge Casas IRA v. FAS Team... |
Sep. 1, 2017
May 30, 2017 |
Securities
Financial Abuse of an Elder or Dependent Adult,
Verdict:
$160,000
|
$160,000
|
Philip A. Tymon | Jack Paich v. BluePrint Wea... |
Sep. 8, 2017
Jun. 15, 2017 |
Securities
Commodities
Verdict:
$624,000,000
|
$624,000,000
|
In re Countrywide Financial... |
Aug. 12, 2010
Jul. 31, 2010 |
|
Securities
Expungement |
Expungement | Charles Michaels | Jon Ronald Springer v. Cete... |
Feb. 2, 2018
Dec. 18, 2017 |
Securities
CRD Records |
Expungement Denied | Herbert Liberman | Shareholders Service Group ... |
Aug. 25, 2017
Jul. 19, 2017 |
Securities
Breach of Fiduciary Duty |
Respondent | Richard Norman | Simco Company v. E-Trade Se... |
Sep. 1, 2017
Jun. 23, 2017 |
Securities
Breach of Fiduciary Duty |
Respondent | Thomas E. Shuck | Paul Michel v. E-Trade Secu... |
Sep. 1, 2017
Jun. 7, 2017 |
Securities
Financial Elder Abuse
Verdict:
$1,797,054
|
$1,797,054
|
A. Joel Klein | Agatha Dancy, individually ... |
Sep. 8, 2017
Jul. 12, 2017 |
Securities
CRD Records |
Expungement | Raymond C. Kerr | William David Leven v. UBS ... |
Aug. 25, 2017
Jul. 19, 2017 |
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Ray Pollard, successor Trus... |
Nov. 10, 2017
Sep. 21, 2017 |
Securities
CRD Records |
Expungement | Richard J. Stall Jr. | Charles Paul Reinhold v. HB... |
Aug. 25, 2017
Jul. 17, 2017 |
Securities
Commodities
Verdict:
$4,906,950
|
$4,906,950
|
Jon S. Tigar | Securities and Exchange Com... |
Mar. 22, 2024
May 30, 2023 |
Securities
Securities Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
Mark C. Scarsi | Robert J. Matthews, individ... |
Nov. 18, 2022
Sep. 23, 2022 |
Securities
Breach of Fiduciary Duty |
Respondent | Annabelle Datzker Trust, as... |
Jun. 19, 2020
Mar. 19, 2020 |
|
Securities
Expungement |
Tiffany L. Wright v. Goldma... |
Apr. 17, 2020
Feb. 4, 2020 |
||
Securities
Securities Exchange Act
Verdict:
$154,687,500
|
$154,687,500
|
Stephen V. Wilson | In Re Snap Inc. Securities ... |
May 1, 2020
Mar. 20, 2020 |
Securities
Expungement |
Expungement | Peter H. Daly | Shawn Michael Richardson v.... |
Mar. 1, 2019
Dec. 28, 2018 |
Securities
Expungement |
Claimant | Mark John Williams v. J.P. ... |
Oct. 2, 2020
Aug. 19, 2020 |