57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Bradford Smith v. UBS Finan... |
Apr. 1, 2017
Jan. 23, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$247,000
|
$247,000
|
Lucy Mattinen, John Mattine... |
Nov. 3, 2012
Oct. 3, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$4,253,000
|
$4,253,000
|
George M. Weiner | REFCO Securities, Inc. v. C... |
Jan. 31, 1998
Jul. 22, 1997 |
|
Securities
Securities Fraud
Verdict:
$24,000,000
|
$24,000,000
|
William H. Alsup | Julia Junge and Richard Jun... |
Oct. 21, 2022
Sep. 6, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$189,000,000
|
$189,000,000
|
Roger T. Benitez | Austin Dicker, individually... |
May 23, 2025
Sep. 4, 2024 |
|
Securities
Securities Fraud
Verdict:
$1,120,943
|
$1,120,943
|
David I. Brown | Kylae Jordan v. Landon Long... |
Mar. 21, 2025
Nov. 19, 2024 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Equitable Settlement |
Damien Moore v. Charles Sch... |
May 26, 2012
Apr. 17, 2012 |
|
|
Securities
Lending
Verdict:
-$1
|
-$1
Mixed |
Pacific Select Fund v. Bank... |
Mar. 17, 2012
Jan. 30, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,105,000
|
$1,105,000
|
Douglas Beal, Marjorie Gill... |
Nov. 12, 2016
Oct. 4, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$775,000
|
$775,000
|
Morrison C. England Jr. | Special Situations Fund III... |
Mar. 8, 2019
Jan. 24, 2019 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Lacey Odis Patrick Corbett ... |
Sep. 29, 2012
Aug. 30, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
R. Carlton Seaver | Rene Garcia v. Morgan Stanl... |
May 6, 2006
Jan. 11, 2006 |
|
Securities
Fraud
Verdict:
$300,000
|
$300,000
|
In the Matter of Raymond J.... |
Jul. 20, 2013
Jul. 8, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Simon David Lewis, Laurens ... |
Mar. 20, 2010
Feb. 10, 2010 |
|
|
Securities
Negligence
Verdict:
$12,133
|
$12,133
|
Peter P. Reddy Sr. v. E*Tra... |
Mar. 24, 2012
Jan. 17, 2012 |
|
|
Securities
CLRA
Verdict:
$23,000
|
$23,000
|
P. Anne Giannini v. Raymond... |
Mar. 17, 2012
Feb. 1, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$49,965
|
$49,965
|
Jesus G. Bernal | Securities and Exchange Com... |
Oct. 30, 2020
Sep. 3, 2020 |
|
Securities
Breach of Contract
Verdict:
$30,000,000
|
$30,000,000
|
US Airways Inc. v. Oppenhei... |
Feb. 23, 2013
Jan. 31, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$934,193
|
$934,193
|
Susan K. Myers, individuall... |
Feb. 23, 2013
Feb. 12, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,651,000
|
$1,651,000
|
Artek Media International I... |
Jun. 4, 2016
Jan. 29, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Brown Family Trust v. Wells... |
May 28, 2016
Feb. 8, 2016 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent |
Margaret A. Wendt v. UBS Fi... |
Mar. 17, 2012
Jan. 30, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent |
Leprino Foods Co. v. BNY Me... |
Nov. 3, 2012
Oct. 9, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claims Denied |
Ellen L. Brown v. Neuberger... |
Aug. 13, 2011
Jun. 9, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$192,768
|
$192,768
|
Mark C. Scarsi | Securities and Exchange Com... |
Jan. 29, 2021
Nov. 24, 2020 |
|
Securities
Expungement |
Expungement | Sterling N. Frost | Richard Maxey v. Valic Fina... |
Mar. 15, 2019
Jan. 11, 2019 |
|
Securities
Unfair Business Practices
Verdict:
$14,500
|
$14,500
|
James Gordon v. E Trade Sec... |
Mar. 25, 2017
Jan. 24, 2017 |
|
|
Securities
Securities Exchange Act |
Dismissal | David O. Carter | In re: Alteryx Inc. Securit... |
Nov. 18, 2022
Aug. 2, 2021 |
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
In Re Violin Memory Securit... |
Nov. 22, 2014
Oct. 31, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$12,015,000
|
$12,015,000
|
Vince G. Chhabria | In re: Vaxart Inc. Securiti... |
Nov. 18, 2022
Sep. 15, 2022 |