57343 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Charles C. Patton v. Wells ... |
Oct. 30, 2010
Oct. 8, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$191,694
|
$191,694
|
Betsy Van Hees v. Cowen & C... |
Oct. 30, 2010
Oct. 7, 2010 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement |
Robert Brian Reynolds v. Mo... |
May 31, 2014
May 9, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$254,700
|
$254,700
|
Carol Marini v. Marcelle Lo... |
Aug. 4, 2012
Jun. 25, 2012 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Jeffrey Colflesh, et al. v.... |
Aug. 4, 2012
Jun. 28, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Ryan P. Romines v. Joseph T... |
Jul. 21, 2012
Jun. 25, 2012 |
|
|
Securities
Breach of Promissory Note
Verdict:
$469,954
|
$469,954
|
Lehman Brothers Holdings In... |
Jul. 21, 2012
Jun. 21, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$5,000 (against Wells Fargo) |
Walter Cole and Antoinette ... |
May 29, 2010
May 6, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement denied |
Carol Saunders v. Susan N. ... |
Oct. 31, 2015
Jul. 8, 2015 |
|
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Dismissal |
Lawrence Zucker v. Marc L. ... |
Jul. 28, 2012
Jun. 22, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph S. Mizrahi, individu... |
Oct. 24, 2015
Sep. 3, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$11,558,100
|
$11,558,100
|
Larry Hagman, individually;... |
Oct. 30, 2010
Oct. 11, 2010 |
|
|
Securities
Fraud
Verdict:
$173,000,000
|
$173,000,000
|
Securities and Exchange Com... |
May 22, 2010
May 7, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Deborah J. Hill, individual... |
Oct. 30, 2010
Oct. 2, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$4,503
|
$4,503
|
SharesPost Financial Corp. ... |
Oct. 31, 2015
Sep. 12, 2015 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. a... |
Mar. 16, 2013
Feb. 26, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
In re Hot Topic Inc. Securi... |
Jan. 3, 2015
May 2, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Grimm v. E*Trade Securities... |
Mar. 9, 2013
Feb. 25, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Paul J. McDonough, Ellen Mc... |
Apr. 7, 2012
Mar. 12, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$62,073
|
$62,073
|
Merrill Lynch, Pierce, Fenn... |
Mar. 9, 2013
Feb. 12, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
$57,000,000 (as of May 3, 2010) |
In re Sequenom, Inc. Securi... |
Sep. 4, 2010
Aug. 27, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Bobby Dean Taylor v. Banc o... |
Apr. 1, 2006
Nov. 23, 2005 |
|
|
Securities
Securities Exchange Act
Verdict:
$22,482,300
|
$22,482,300
|
Securities and Exchange Com... |
May 31, 2014
May 15, 2014 |
|
|
Securities
Fraud
Verdict:
$16,000,000
|
$16,000,000
|
In re LDK Solar Securities ... |
Oct. 23, 2010
Mar. 2, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
$4,800,000
|
$4,800,000
|
In Re American Apparel Inc.... |
May 31, 2014
Apr. 16, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Wayne C. Conlee, individual... |
Mar. 8, 2014
Jan. 21, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Scott Lambert, Laura Lamber... |
Mar. 15, 2014
Feb. 11, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
U.S. Securities and Exchang... |
Sep. 29, 2012
Jul. 31, 2012 |
|
|
Securities
Negligence
Verdict:
$280,000,000
|
$280,000,000
|
Plumbers' & Pipefitters' Lo... |
May 31, 2014
May 2, 2014 |
|
|
Securities
Violations of Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Tom Palny, Xuecheng Yang v.... |
May 31, 2014
May 13, 2014 |