56963 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Breach of Contract
Verdict:
$435,383
|
$435,383
|
Patrick "Brian" FitzWilliam... |
Sep. 7, 2013
Aug. 15, 2013 |
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Claimant |
Grant Arthur Gochin v. UBS ... |
Jan. 24, 2015
Dec. 14, 2014 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. a... |
Mar. 16, 2013
Feb. 26, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Fred Hetzel v. Alpha Omega ... |
Feb. 14, 2015
Apr. 7, 2014 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Martin Brookes v. Matthew J... |
Sep. 22, 2012
Aug. 30, 2012 |
|
Securities
Violation of the Securities Act
Verdict:
$5,000,000
|
$5,000,000
|
Panther Partners Inc. v. Ik... |
Apr. 27, 2013
Mar. 25, 2013 |
|
Securities
Stocks
Verdict:
$329,239
|
$329,239
|
Joan Kushner, Michael Eggim... |
Sep. 22, 2012
Aug. 30, 2012 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Scott B. Teter v. UBS Finan... |
Mar. 16, 2013
Mar. 4, 2013 |
|
Securities
Sale of Business
Verdict:
$301,000
|
$301,000
|
Ernest M. Hiroshige | Robert Sagehorn, Thomas Sag... |
Sep. 3, 2005
Jul. 1, 2005 |
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bank of Nevada v. UBS Finan... |
Mar. 16, 2013
Mar. 5, 2013 |
|
Securities
Fraud
Verdict:
$726,000
|
$726,000
|
Michael L. Stern | Linda Wang v. Charles Xue |
Sep. 3, 2005
Apr. 6, 2005 |
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Fred H. Guenther Jr. v. Cro... |
Aug. 17, 2013
Aug. 1, 2013 |
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Dismissal |
Lawrence Zucker v. Marc L. ... |
Jul. 28, 2012
Jun. 22, 2012 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Jay E. Ash v. Ronald Allen ... |
Oct. 6, 2012
Sep. 6, 2012 |
|
Securities
Breach of Promissory Note
Verdict:
$469,954
|
$469,954
|
Lehman Brothers Holdings In... |
Jul. 21, 2012
Jun. 21, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Alaris F. Thorns IRA Rollov... |
Aug. 31, 2013
Aug. 14, 2013 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Ryan P. Romines v. Joseph T... |
Jul. 21, 2012
Jun. 25, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Bobby Dean Taylor v. Banc o... |
Apr. 1, 2006
Nov. 23, 2005 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
ESG Capital Partners LP a D... |
Jul. 13, 2013
Jun. 26, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
United Micronesia Developme... |
Jul. 13, 2013
Jun. 26, 2013 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Jeffrey Colflesh, et al. v.... |
Aug. 4, 2012
Jun. 28, 2012 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Jamal Abdul-Kabir, Joyce L.... |
Oct. 20, 2012
Sep. 25, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ellen Gache and EBG Investm... |
Jul. 13, 2013
Jun. 27, 2013 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Michael Pope, Maxine O. Pop... |
Jun. 29, 2013
Jun. 13, 2013 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondents |
UBS Financial Services Inc.... |
Jun. 29, 2013
Jun. 11, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Yvonne D. Kloehn v. Wells F... |
Aug. 24, 2013
Aug. 12, 2013 |
|
Securities
Violations of Exchange Act
Verdict:
$2,125,000
|
$2,125,000
|
James Rose v. Deer Consumer... |
Aug. 24, 2013
Aug. 9, 2013 |
|
Securities
Violation of the Securities Act
Verdict:
$4,000,000
|
$4,000,000
|
In re Constellation Energy ... |
Jun. 29, 2013
May 8, 2013 |
|
Securities
Fraud
Verdict:
$117,500,000
|
$117,500,000
|
In re Mercury Interactive C... |
Dec. 1, 2007
|