57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Denial |
Bobby Karim Panahi v. UBS F... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Employment
Verdict:
$61,100
|
$61,100
|
Daniel Becerra v. Oppenheim... |
Aug. 2, 2014
Jul. 2, 2014 |
|
|
Securities
Fraud
Verdict:
$7,500,000
|
$7,500,000
|
People of the State of Cali... |
Nov. 29, 2008
Sep. 2, 2008 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
David Baratko v. Banc of Am... |
Jan. 5, 2013
Dec. 11, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$8,750,000
|
$8,750,000
|
Samuel Hildenbrand, on beha... |
Feb. 8, 2014
Mar. 1, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Richard M. Norman | Myron Allen, individually, ... |
Nov. 10, 2017
Oct. 5, 2017 |
|
Securities
Verdict:
$2,536
|
$2,536
|
Thomas B. Wilson v. Morgan ... |
Apr. 17, 2020
Feb. 7, 2020 |
|
|
Securities
Breach of Contract
Verdict:
$1,221,930
|
$1,221,930
|
Lehman Brothers Holdings In... |
Oct. 18, 2014
Mar. 31, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Eric Anthony Broili v. Andr... |
Jan. 28, 2012
Dec. 28, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$1,800,000
|
$1,800,000
|
Securities and Exchange Com... |
Apr. 6, 2013
Mar. 19, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$120,362
|
$120,362
|
Morgan Stanley Smith Barney... |
Sep. 24, 2011
May 3, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$8,500,000
|
$8,500,000
|
John F. Walter | In re: Stable Road Acquisit... |
Feb. 9, 2024
Sep. 20, 2023 |
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Respondent |
Aimai Knypstra, Ravi Knypst... |
May 10, 2014
Mar. 4, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$5,998,000
|
$5,998,000
|
David O. Carter | Securities and Exchange Com... |
Dec. 10, 2021
Nov. 19, 2021 |
|
Securities
Breach of Contract
Verdict:
$15,000
|
$15,000
Claimant |
Wells Fargo Clearing Servic... |
Aug. 7, 2020
Mar. 11, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
Metal Finishing Association... |
Sep. 17, 2011
Jun. 9, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Vincent Cervoni, Rita Cervo... |
Jan. 11, 2014
Dec. 19, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$30,000,000
|
$30,000,000
|
Jon S. Tigar | In re: Splunk Inc. Securiti... |
Sep. 22, 2023
Feb. 7, 2023 |
|
Securities
Expungement |
Expungement | David J. Anderson | Mark Robert Fasano, UBS Fin... |
Nov. 10, 2017
Oct. 11, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$19,250,000
|
$19,250,000
|
Robert D. Foiles | In re: Eventbrite Inc. Secu... |
Dec. 17, 2021
Nov. 5, 2021 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Gary Moye, Joel Vanblerkom ... |
Jan. 11, 2014
Dec. 20, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$7,700,000
|
$7,700,000
|
Construction Workers Pensio... |
Apr. 5, 2014
Mar. 17, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$4,735,840
|
$4,735,840
|
Securities and Exchange Com... |
Sep. 27, 2014
Aug. 14, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$21,200,000
|
$21,200,000
|
Plumbers' Union Local No. 1... |
Feb. 8, 2014
Dec. 19, 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
Breach of Fiduciary Duty
Verdict:
$1,105,000
|
$1,105,000
|
Douglas Beal, Marjorie Gill... |
Nov. 12, 2016
Oct. 4, 2016 |
|
|
Securities
Securities Exchange Act
Verdict:
$482,050
|
$482,050
|
Alicia G. Rosenberg | Securities and Exchange Com... |
May 20, 2022
Apr. 11, 2022 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph E. Czarnecki, Nancy ... |
Feb. 8, 2014
Jan. 14, 2014 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Cement Masons & Plasterers ... |
Jul. 20, 2013
Jun. 12, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Gary Varjabedian, on behalf... |
Feb. 13, 2016
Jan. 13, 2016 |