56963 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
$119,990,000
|
$119,990,000
|
Real Estate Capital Managem... |
Jun. 14, 2008
Apr. 14, 2008 |
|
|
Securities
Breach of Promissory Note
Verdict:
$803,342
|
$803,342
|
Wells Fargo Advisors LLC v.... |
Apr. 6, 2013
Mar. 25, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Thomas A. Seaman, in his ca... |
Feb. 14, 2015
Apr. 28, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Lyle W. Swenson Jr., Michel... |
Feb. 25, 2012
Jan. 20, 2012 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In Re Finisar Corporation S... |
Feb. 9, 2013
Jan. 16, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$338,646 (plus interest) |
Lim Cheng Low, Lee Fang Ng ... |
Sep. 4, 2010
Aug. 12, 2010 |
|
|
Securities
Fraud
Verdict:
$327,245
|
$327,245
|
Laurence Rivkin, individual... |
Dec. 12, 2009
Sep. 30, 2009 |
|
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Equitable Agreement |
In re Sequenom, Inc. Deriva... |
Sep. 25, 2010
Jul. 26, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$253,843
|
$253,843
|
Amnon Kawa, Amva Holdings, ... |
Sep. 4, 2010
Aug. 4, 2010 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Dismissal |
Martin J. Smallen, Dolores ... |
Mar. 15, 2014
Feb. 19, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Harvey Jasny v. Morgan Stan... |
Apr. 28, 2007
Jan. 24, 2007 |
|
|
Securities
Breach of Promissory Note
Verdict:
$210,532
|
$210,532
|
Confidential |
Apr. 14, 2007
Jan. 17, 2007 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Aslam Ahmed, Ayfer Ahmed v.... |
Feb. 4, 2012
Jan. 11, 2012 |
|
|
Securities
Foreign Corrupt Practices Act
Verdict:
$55,000,000
|
$55,000,000
|
In the Matter of Bio-Rad La... |
Nov. 29, 2014
Nov. 3, 2014 |
|
|
Securities
NASD
Verdict:
$194,015
|
$194,015
|
Deanna Johnson, Clint A. Jo... |
Jun. 16, 2007
Jan. 2, 2007 |
|
|
Securities
Fraud
Verdict:
$512,000
|
$512,000
|
Leonard Becker and Nancy Be... |
May 19, 2007
Jan. 17, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents, Counter-Respondents |
Rina Schwarz, individually,... |
Sep. 4, 2010
Aug. 12, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$500,000
|
$500,000
|
Securities and Exchange Com... |
Mar. 29, 2014
Mar. 10, 2014 |
|
|
Securities
Constructive Discharge
Verdict:
$2,000,000
|
$2,000,000
|
Mark Henning, Roman Zaretsk... |
Jul. 21, 2012
Jun. 21, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,300,000
|
$3,300,000
|
In Re Maxwell Technologies ... |
Nov. 22, 2014
Nov. 3, 2014 |
|
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
William Fieldman | Confidential |
Dec. 14, 1996
Nov. 1, 1996 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Mark Robert Fasano, John Ed... |
Mar. 22, 2014
Mar. 6, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$1,246,160
|
$1,246,160
|
Agnes Barrelet IRA, Agnes C... |
Jun. 28, 2014
Jun. 11, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Douglas Anthony Bott v. UBS... |
Feb. 2, 2013
Jan. 14, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$66,800
|
$66,800
|
Thomas E. Turk, Thomas E. T... |
Mar. 21, 2009
Feb. 2, 2009 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Lisa Ann Detanna v. Wedbush... |
Aug. 23, 2014
Aug. 6, 2014 |
|
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
Ned B. Young | Amy Wellman and Harold Well... |
Feb. 18, 2006
Oct. 11, 2005 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Mehmet Akin, Adrian Akin v.... |
Dec. 10, 2016
Oct. 20, 2016 |
|
|
Securities
Breach of Promissory Note
Verdict:
$637,500
|
$637,500
|
Raymond J. Ikola | Confidential |
Jun. 24, 2000
Apr. 10, 2000 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Flora J. Tisherman IRA, San... |
Feb. 16, 2013
Jan. 31, 2013 |