57359 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Lauren Ann Gidley v. First ... |
May 24, 2019
Apr. 10, 2019 |
|
|
Securities
Expungement |
Claimant | Robert W. Huntley v. LPL Fi... |
Feb. 7, 2020
Nov. 15, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$2,300,000
|
$2,300,000
|
Mark C. Scarsi | Securities and Exchange Com... |
Apr. 8, 2022
Mar. 9, 2022 |
|
Securities
|
Defense | Glenn R. Salter | Ahmed D. Hussein v. Sheldon... |
Aug. 13, 2021
Jul. 29, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$402,075
|
$402,075
|
Maxine M. Chesney | Securities and Exchange Com... |
Feb. 28, 2025
Dec. 3, 2024 |
|
Securities
Expungement |
Alan Jerome Schryer v. Mone... |
Feb. 21, 2020
Dec. 17, 2019 |
||
|
Securities
Breach of Fiduciary Duty |
Respondent | Steven Moreno v. Merrill Ly... |
May 24, 2019
Apr. 9, 2019 |
|
|
Securities
Expungement |
Claimant | G. Scott Diddel v. Voya Fin... |
Dec. 13, 2019
Oct. 29, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$5,498,941
|
$5,498,941
|
John W. Holcomb | Securities and Exchange Com... |
Jun. 18, 2021
May 20, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$3,250,000
|
$3,250,000
|
Susan Y. Illston | Jay Rabkin, individually an... |
Jan. 25, 2019
Sep. 28, 2018 |
|
Securities
Expungement |
Lee Siegal Henderson v. Mor... |
Nov. 8, 2019
Oct. 3, 2019 |
||
|
Securities
Securities Exchange Act |
Defense | Lucy H. Koh | Jacob McGovney, et al. v. A... |
Mar. 22, 2019
Feb. 5, 2019 |
|
Securities
Securities Fraud |
Injunctive Relief | Stanley Blumenfeld Jr. | Securities and Exchange Com... |
Jul. 30, 2021
Jul. 2, 2021 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Philip Ashburn, Connie John... |
Feb. 16, 2013
Jan. 31, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$19,750,000
|
$19,750,000
|
Andrew J. Guilford | In re Banc of California Se... |
Jan. 3, 2020
Dec. 2, 2019 |
|
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | Iron Workers Local 580 Join... |
Mar. 26, 2021
Mar. 2, 2021 |
|
Securities
Breach of Fiduciary Duty |
Expungement Denied | Thaddeus J. Tecza | Roger Scott Talman and Cath... |
Mar. 15, 2019
Jan. 21, 2019 |
|
Securities
Violations of Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
In re Wonder Auto Technolog... |
Feb. 9, 2013
Jan. 15, 2013 |
|
|
Securities
Commodities
Verdict:
$5,500,000
|
$5,500,000
|
Dolly M. Gee | In re Capstone Turbine Corp... |
Dec. 20, 2019
Nov. 15, 2019 |
|
Securities
Expungement |
Claimant | Mark A. Law v. LPL Financia... |
Jan. 10, 2020
Nov. 4, 2019 |
|
|
Securities
Expungement |
Expungement | Terrance W. Arges v. LPL Fi... |
Mar. 20, 2020
Nov. 21, 2019 |
|
|
Securities
Verdict:
$7,300,000
|
$7,300,000
|
Barbara A. Meiers | Chanh Huynh, Michael Smith ... |
May 22, 2020
Nov. 6, 2019 |
|
Securities
Securities Fraud
Verdict:
$90,535
|
$90,535
|
Mark C. Scarsi | Securities and Exchange Com... |
Jan. 8, 2021
Dec. 8, 2020 |
|
Securities
Expungement |
Expungement | Mark A. Bilawsky | Anthony Claude Marcello III... |
Mar. 15, 2019
Jan. 19, 2019 |
|
Securities
Securities Fraud |
Dismissal | Maxine M. Chesney | In re Wells Fargo & Company... |
Mar. 4, 2022
Feb. 7, 2022 |
|
Securities
Expungement |
Claimant | Kenneth Ancell v. Commonwea... |
Feb. 7, 2020
Nov. 4, 2019 |
|
|
Securities
Securities Exchange Act
Verdict:
$900,000
|
$900,000
|
Gonzalo P. Curiel | Bar Mandalevy, individually... |
Mar. 11, 2022
Jan. 31, 2022 |
|
Securities
Verdict:
$50,000
|
$50,000
|
Beth L. Freeman | Securities and Exchange Com... |
Mar. 12, 2021
Feb. 11, 2021 |
|
Securities
Securities Exchange Act |
Dismissal | Jon S. Tigar | Chad C. Smith, individually... |
Mar. 19, 2021
Feb. 26, 2021 |
|
Securities
Securities Fraud
Verdict:
$3,500,000
|
$3,500,000
|
Fred W. Slaughter | Timothy Brady v. Delta Ener... |
Aug. 30, 2024
|