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56963 Rulings

Topic Case Name Published / Result

Securities

Securities
Breach of Contract
Verdict: $435,383
Patrick "Brian" FitzWilliam... Sep. 7, 2013
    Aug. 15, 2013
Securities
FINRA Rules
Verdict: -$1
Grant Arthur Gochin v. UBS ... Jan. 24, 2015
    Dec. 14, 2014
Securities
Expungement
Verdict: -$1
Charles Schwab & Co. Inc. a... Mar. 16, 2013
    Feb. 26, 2013
Securities
Breach of Fiduciary Duty
Verdict: -$1
Fred Hetzel v. Alpha Omega ... Feb. 14, 2015
    Apr. 7, 2014
Securities
Suitability
Verdict: -$1
Martin Brookes v. Matthew J... Sep. 22, 2012
    Aug. 30, 2012
Securities
Violation of the Securities Act
Verdict: $5,000,000
Panther Partners Inc. v. Ik... Apr. 27, 2013
    Mar. 25, 2013
Securities
Stocks
Verdict: $329,239
Joan Kushner, Michael Eggim... Sep. 22, 2012
    Aug. 30, 2012
Securities
Negligence
Verdict: -$1
Scott B. Teter v. UBS Finan... Mar. 16, 2013
    Mar. 4, 2013
Securities
Sale of Business
Verdict: $301,000
Robert Sagehorn, Thomas Sag... Sep. 3, 2005
    Jul. 1, 2005
Securities
Breach of Fiduciary Duty
Verdict: -$1
Bank of Nevada v. UBS Finan... Mar. 16, 2013
    Mar. 5, 2013
Securities
Fraud
Verdict: $726,000
Linda Wang v. Charles Xue Sep. 3, 2005
    Apr. 6, 2005
Securities
Fraud
Verdict: -$1
Fred H. Guenther Jr. v. Cro... Aug. 17, 2013
    Aug. 1, 2013
Securities
Derivative Suit
Verdict: -$1
Lawrence Zucker v. Marc L. ... Jul. 28, 2012
    Jun. 22, 2012
Securities
Expungement
Verdict: -$1
Charles Schwab & Co. Inc. v... Oct. 20, 2012
    Sep. 19, 2012
Securities
Stocks
Verdict: -$1
Jay E. Ash v. Ronald Allen ... Oct. 6, 2012
    Sep. 6, 2012
Securities
Breach of Promissory Note
Verdict: $469,954
Lehman Brothers Holdings In... Jul. 21, 2012
    Jun. 21, 2012
Securities
Breach of Fiduciary Duty
Verdict: -$1
Alaris F. Thorns IRA Rollov... Aug. 31, 2013
    Aug. 14, 2013
Securities
Fraud
Verdict: -$1
Ryan P. Romines v. Joseph T... Jul. 21, 2012
    Jun. 25, 2012
Securities
Breach of Fiduciary Duty
Verdict: -$1
Bobby Dean Taylor v. Banc o... Apr. 1, 2006
    Nov. 23, 2005
Securities
Securities Fraud
Verdict: -$1
ESG Capital Partners LP a D... Jul. 13, 2013
    Jun. 26, 2013
Securities
Breach of Fiduciary Duty
Verdict: $100,000
United Micronesia Developme... Jul. 13, 2013
    Jun. 26, 2013
Securities
Suitability
Verdict: -$1
Jeffrey Colflesh, et al. v.... Aug. 4, 2012
    Jun. 28, 2012
Securities
Securities Fraud
Verdict: -$1
Jamal Abdul-Kabir, Joyce L.... Oct. 20, 2012
    Sep. 25, 2012
Securities
Breach of Fiduciary Duty
Verdict: -$1
Ellen Gache and EBG Investm... Jul. 13, 2013
    Jun. 27, 2013
Securities
Breach of Contract
Verdict: -$1
Michael Pope, Maxine O. Pop... Jun. 29, 2013
    Jun. 13, 2013
Securities
Breach of Contract
Verdict: -$1
UBS Financial Services Inc.... Jun. 29, 2013
    Jun. 11, 2013
Securities
Breach of Fiduciary Duty
Verdict: -$1
Yvonne D. Kloehn v. Wells F... Aug. 24, 2013
    Aug. 12, 2013
Securities
Violations of Exchange Act
Verdict: $2,125,000
James Rose v. Deer Consumer... Aug. 24, 2013
    Aug. 9, 2013
Securities
Violation of the Securities Act
Verdict: $4,000,000
In re Constellation Energy ... Jun. 29, 2013
    May 8, 2013
Securities
Fraud
Verdict: $117,500,000
In re Mercury Interactive C... Dec. 1, 2007