56963 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Matthew Martin Howley v. Me... |
Apr. 5, 2019
Mar. 4, 2019 |
|
Securities
Securities Fraud |
Defense | Yvonne Gonzalez Rogers | Christopher Hamilton, et al... |
Apr. 30, 2021
Apr. 5, 2021 |
|
Securities
Securities Fraud
Verdict:
$33,000,000
|
$33,000,000
|
S. James Otero | Securities and Exchange Com... |
Dec. 28, 2018
Aug. 2, 2018 |
|
Securities
Breach of Contract |
Expungement | George H. Frisch | Medhat Yacoub v. Fidelity B... |
Jun. 14, 2019
May 1, 2019 |
|
Securities
Securities Exchange Act
Verdict:
$614,775
|
$614,775
|
In the Matter of Floyd Mayw... |
Dec. 28, 2018
Nov. 29, 2018 |
|
|
Securities
Expungement |
Expungement | Barbara M. Zak | Adam Scot Goldstein v. Amer... |
Mar. 1, 2019
Dec. 28, 2018 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Bob Rogers, in his individu... |
Dec. 28, 2018
Sep. 26, 2018 |
|
Securities
Expungement |
Claimant | Robert D. Sussin | Lisa Ann Detanna v. Citigro... |
Nov. 29, 2019
Oct. 7, 2019 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Michael M. Hachigian | William and Henry Associate... |
Mar. 1, 2019
Jan. 7, 2019 |
|
Securities
Breach of Fiduciary Duty |
Expungement | A. Joel Klein | Oscar Roberto Celasco, indi... |
Mar. 1, 2019
Jan. 5, 2019 |
|
Securities
Expungement |
Claimant | George L. Tindall | Steven Craig Henningson v. ... |
Nov. 29, 2019
Oct. 8, 2019 |
|
Securities
|
Expungement | Barbara M. Zak | Bonnie L. Hester (IRA), Jam... |
Mar. 1, 2019
Dec. 17, 2018 |
|
Securities
Fraud |
Respondent | Paula Tyler, Trustee of the... |
May 24, 2019
Apr. 10, 2019 |
|
|
Securities
|
Expungement | Richard Jay Zinman v. UBS F... |
May 24, 2019
Apr. 9, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$5,900,000
|
$5,900,000
|
John A. Houston | Securities and Exchange Com... |
Jan. 4, 2019
Nov. 16, 2018 |
|
Securities
Expungement |
Expungement | Lauren Ann Gidley v. First ... |
May 24, 2019
Apr. 10, 2019 |
|
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Susan L. Greenberg | In re: Tintri Inc. Securiti... |
Dec. 20, 2024
Jan. 11, 2024 |
|
Securities
Securities Exchange Act
Verdict:
$129,000,000
|
$129,000,000
|
William H. Alsup | The Police Retirement Syste... |
May 21, 2021
Apr. 30, 2021 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Thomas L. Marshall | Norman Lipson v. RBC Capita... |
Apr. 5, 2019
Feb. 7, 2019 |
|
Securities
Expungement |
Claimant | G. Scott Diddel v. Voya Fin... |
Dec. 13, 2019
Oct. 29, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$90,535
|
$90,535
|
Mark C. Scarsi | Securities and Exchange Com... |
Jan. 8, 2021
Dec. 8, 2020 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Michael Noia et al. v. Amer... |
May 24, 2019
Apr. 9, 2019 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Randall B. Christison | Barbara Freeman v. J.P. Mor... |
Feb. 1, 2019
Dec. 4, 2018 |
|
Securities
Expungement |
Confirmed | Richard B. Ulmer Jr. | Justin Timothy Bailey v. We... |
Jan. 24, 2025
Jul. 2, 2024 |
|
Securities
Expungement |
Expungement | Philip A. Tymon | Sonny Hamesh Gulati v. UBS ... |
Feb. 1, 2019
Dec. 3, 2018 |
|
Securities
Securities Exchange Act |
Defense | Edward M. Chen | Ronald Sgarlata, individual... |
Feb. 8, 2019
Dec. 13, 2018 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Robert F. Saint-Aubin | Marcia Berger, individually... |
Dec. 21, 2018
Oct. 12, 2018 |
|
Securities
Securities Fraud |
Respondent | Alan B. Nishimura | Brad Ormsby v. Scottrade Inc. |
May 3, 2019
Mar. 13, 2019 |
|
Securities
Securities Fraud |
Respondent | Thomas E. Shuck | Jose Calderon v. Michael La... |
Dec. 21, 2018
Nov. 14, 2018 |
|
Securities
Securities Fraud
Verdict:
$4,800,000
|
$4,800,000
|
Janis L. Sammartino | Karim Khoja, on behalf of h... |
Jun. 11, 2021
Apr. 22, 2021 |