56963 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$70,000
|
$70,000
|
Michael Freese v. Waveland ... |
Apr. 15, 2017
Feb. 28, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Sarah Jane Harmon v. Charle... |
Apr. 15, 2017
Mar. 24, 2017 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Mark Birzell, Laura Birzell... |
Apr. 15, 2017
Mar. 14, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$357,000
|
$357,000
|
Anthony J. Pryor v. Wells F... |
Apr. 15, 2017
Mar. 12, 2017 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Equitable Settlement |
Onyx Pharmaceuticals v. Bay... |
Jun. 16, 2012
Oct. 12, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
For Respondent |
The William Dale Kelly and ... |
Jun. 23, 2012
Sep. 29, 2011 |
|
|
Securities
Negligence
Verdict:
$442,072
|
$442,072
|
Snow E. Jaynes, individuall... |
Sep. 14, 2013
Aug. 30, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Countrywide Financial... |
Sep. 14, 2013
Aug. 26, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In re Velti Securities Liti... |
Nov. 14, 2015
Oct. 1, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Vickie Tedesco Parrish, ind... |
Oct. 1, 2011
Jul. 18, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
The 1997 Robert H. Lorsch F... |
Dec. 30, 2006
Apr. 20, 2006 |
|
|
Securities
NASD
Verdict:
$375
|
$375
|
Brian Barsky v. Wells Fargo... |
Dec. 23, 2006
Oct. 13, 2006 |
|
|
Securities
NASD
Verdict:
$179,840
|
$179,840
|
Robert M. Lubin | Lawrence Marcus v. Trautman... |
Dec. 2, 2006
Sep. 30, 2006 |
|
Securities
NASD
Verdict:
$1,250,000
|
$1,250,000
|
Shari Nolan v. Phillip D. H... |
Dec. 2, 2006
Jul. 18, 2006 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Harry C. Zaban Jr., IRA Rol... |
Apr. 14, 2007
Oct. 3, 2006 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Nick Shahrestany, Milan Inv... |
Oct. 1, 2011
Jul. 14, 2011 |
|
|
Securities
NASD
Verdict:
$339,974
|
$339,974
|
Dolores White, individually... |
Dec. 30, 2006
Apr. 13, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Bryan Silagy v. Woodbury Fi... |
Dec. 16, 2006
Aug. 11, 2006 |
|
|
Securities
Securities Fraud
Verdict:
$85,000,000
|
$85,000,000
|
Landmen Partners Inc., indi... |
Sep. 28, 2013
Aug. 30, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Mark Alloy v. McLaughlin, P... |
Dec. 2, 2006
Sep. 13, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$63,655,200
|
$63,655,200
|
Rosen Capital Partners LP, ... |
Sep. 24, 2011
Jun. 30, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Paul F. Faberman | Darlene Darata v. McClurg C... |
Dec. 9, 2006
Sep. 27, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Jay H. Mintz, IRA Rollover,... |
Mar. 20, 2010
Feb. 2, 2010 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Robert Paul v. Peter Shieh ... |
Nov. 18, 2006
Sep. 7, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Darrell Lake, Executor for ... |
Nov. 18, 2006
Sep. 14, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Bob T. Hall and Mariah G. H... |
Nov. 18, 2006
Sep. 25, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ferdinand Schoch | Lanek Limited, Kevin McCurd... |
Dec. 9, 2006
Jul. 31, 2006 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Kenneth A. Kinko | Gerald Montiel v. Newbridge... |
Dec. 9, 2006
Aug. 3, 2006 |
|
Securities
Breach of Contract
Verdict:
$90,474
|
$90,474
|
Charles Schwab & Co., Inc. ... |
Apr. 14, 2007
Jul. 28, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Michael Shinkle v. Oak Tree... |
Dec. 9, 2006
Aug. 22, 2006 |