57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$925,000
|
$925,000
|
Filip Lambert, Jignesh Pate... |
May 27, 2017
Oct. 11, 2016 |
|
|
Securities
Negligence
Verdict:
$94,780
|
$94,780
|
Claire F. Goldsmith Living ... |
Jun. 9, 2012
May 4, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Defense |
Jimmy D. Hair, Karen E. Hai... |
Feb. 5, 2011
Jan. 7, 2011 |
|
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Defense |
Linden Pasadena Properties,... |
Jan. 8, 2011
Dec. 2, 2010 |
|
|
Securities
Securities Exchange Act |
Dismissal | Fernando L. Aenlle-Rocha | Jeffrey Garcia, individuall... |
Dec. 9, 2022
Aug. 31, 2022 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent Stone liable, all other claims denied. |
Amardeep Misha, Elizabeth T... |
Feb. 14, 2009
Jan. 16, 2009 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Maine State Retirement Syst... |
Dec. 18, 2010
Nov. 4, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Flora J. Tisherman IRA, San... |
Feb. 16, 2013
Jan. 31, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$25,000,000
|
$25,000,000
|
Haywood S. Gilliam Jr. | In re: Lyft Inc. Securities... |
Nov. 17, 2023
Aug. 9, 2023 |
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Wedbush Securities Inc. v. ... |
Oct. 18, 2014
Apr. 2, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Nancy Jokerst, Rev. William... |
Nov. 14, 2009
Jul. 22, 2009 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Liability |
Securities and Exchange Com... |
May 29, 2010
Apr. 23, 2010 |
|
|
Securities
Expungement |
Expungement | Morris S. Getzels | Jeffrey Aaron Horn v. RBC C... |
Sep. 1, 2017
Jun. 1, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ellen Gache and EBG Investm... |
Jul. 13, 2013
Jun. 27, 2013 |
|
|
Securities
Fraud
Verdict:
$751,000
|
$751,000
|
Dzintra Janavs | Richard Crowther v. Richard... |
Oct. 31, 1998
Jul. 31, 1998 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Michael Pope, Maxine O. Pop... |
Jun. 29, 2013
Jun. 13, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Dismissal | Mark R. Lee | Sujata Vyas v. First Affili... |
Nov. 10, 2017
Sep. 9, 2017 |
|
Securities
Securities Fraud |
Dismissal | James Donato | Aaron Greenspan v. Omar Qaz... |
Jul. 8, 2022
May 19, 2022 |
|
Securities
Securities Fraud
Verdict:
$16,763,034
|
$16,763,034
|
Edward J. Davila | Securities and Exchange Com... |
May 17, 2019
Apr. 2, 2019 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Mark Kalish | Larry Haberkorn v. Wells Fa... |
Sep. 1, 2017
Jun. 22, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$3,350,000
|
$3,350,000
|
In re Neopharm Inc. Securit... |
Feb. 5, 2011
Jan. 13, 2011 |
|
|
Securities
Securities Fraud |
Respondent | Peter D. Steinbroner | William J. Roberts v. TD Am... |
Feb. 2, 2018
Dec. 1, 2017 |
|
Securities
Expungement |
Expungement | Herbert Liberman | Alvin Sanders v. Ameriprise... |
Feb. 16, 2018
Dec. 6, 2017 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Equitable Settlement |
Wells Fargo Advisors Financ... |
Jan. 29, 2011
Dec. 29, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$12,206
|
$12,206
|
William W. Steckbauer, Trus... |
Oct. 15, 2011
Jan. 1, 2011 |
|
|
Securities
Expungement |
Expungement | Milton N. Gross | Ariel Bobroff, Gary Robert ... |
Mar. 1, 2019
Dec. 24, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bank of Nevada v. UBS Finan... |
Mar. 16, 2013
Mar. 5, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$7,500,000
|
$7,500,000
|
Thomas E. Kuhnle | In re Mobileiron Inc., Shar... |
Jun. 30, 2017
Sep. 6, 2017 |
|
Securities
Securities Fraud
Verdict:
$1,050,000
|
$1,050,000
|
County of Alameda, City of ... |
Feb. 18, 2012
Jan. 6, 2012 |
|
|
Securities
Negligence
Verdict:
$36,817,300
|
$36,817,300
|
Linda J. Beeson, et al. v. ... |
Apr. 11, 2015
Dec. 12, 2014 |