56988 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Cyrus Tabaz v. J.P. Morgan ... |
Nov. 28, 2015
Nov. 3, 2015 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Idelji Corporation Defined ... |
Jan. 19, 2013
Dec. 21, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Jack F. Immel, individually... |
Jan. 14, 2012
Dec. 17, 2011 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement denied |
Steven J. Jensen, Nancy Jen... |
Nov. 28, 2015
Nov. 2, 2015 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Kevin T. Knox, Noe Barocio,... |
Jun. 11, 2016
May 10, 2016 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Andrew J. Honzel, Beverly J... |
May 8, 2010
Apr. 4, 2010 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Sergio Gavaldon, Angelica G... |
Dec. 29, 2012
Nov. 28, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Norbert E. Simpson, Darleen... |
Jan. 7, 2012
Dec. 14, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Jerry Mote v. First Allied ... |
Oct. 4, 2008
Jul. 15, 2008 |
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Defense |
Munjal Mehta, individually ... |
Oct. 25, 2014
Jun. 19, 2014 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Justin Paperny v. Damon Dav... |
Dec. 15, 2012
Nov. 20, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Carmela Di Gregorio v. Oppe... |
Jan. 7, 2012
Dec. 13, 2011 |
|
Securities
Negligence
Verdict:
$309,750
|
$309,750
|
Paul Azarian, Loreta Azaria... |
Apr. 12, 2014
Mar. 21, 2014 |
|
Securities
Securities Fraud
Verdict:
$2,462,900,000
|
$2,462,900,000
|
Lawrence E. Jaffe Pension P... |
Nov. 9, 2013
Oct. 17, 2013 |
|
Securities
Breach of Contract
Verdict:
$980,000
|
$980,000
|
Ellen S. Foster v. Matthew ... |
Jan. 14, 2012
Dec. 12, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joe Solorsa v. Wells Fargo ... |
Nov. 28, 2015
Oct. 14, 2015 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Howard Snyder, Karen Snyder... |
Dec. 22, 2012
Nov. 16, 2012 |
|
Securities
Securities Fraud
Verdict:
$55,500
|
$55,500
|
Securities and Exchange Com... |
Oct. 25, 2014
Aug. 28, 2014 |
|
Securities
Violations of Exchange Act
Verdict:
$151,480
|
$151,480
|
Securities and Exchange Com... |
Apr. 19, 2014
Mar. 31, 2014 |
|
Securities
Stocks
Verdict:
$9,500,000
|
$9,500,000
|
In Re McKesson HBOC Inc. Se... |
Jan. 12, 2013
Nov. 28, 2012 |
|
Securities
Verdict:
$549,000
|
$549,000
|
Securities and Exchange Com... |
Sep. 8, 2007
Jul. 31, 2007 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Daniel B. Levine, Stacy B. ... |
Apr. 5, 2014
Mar. 20, 2014 |
|
Securities
Stocks
Verdict:
$3,000,000
|
$3,000,000
|
In re Sturm, Ruger & Co. In... |
Jun. 30, 2012
May 31, 2012 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Verdict for respondent Morgan Stanley Smith Barney |
Oliver Schwarz v. Citigroup... |
Jul. 21, 2012
Jun. 4, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement granted |
Joan L. Shapiro, as Trustee... |
Jul. 14, 2012
Jun. 8, 2012 |
|
Securities
Negligence
Verdict:
$813,475
|
$813,475
|
Mary Tiscornia, Jennifer Ti... |
Nov. 28, 2015
Nov. 4, 2015 |
|
Securities
Securities Fraud
Verdict:
$3,768,330
|
$3,768,330
|
Robert Stanger v. China Ele... |
Jun. 22, 2013
Jun. 3, 2013 |
|
Securities
Securities Fraud
Verdict:
$200,907
|
$200,907
|
Securities and Exchange Com... |
Jan. 28, 2017
Dec. 7, 2016 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Ikho Kang, Unsoon K. Kang v... |
Dec. 6, 2008
Oct. 17, 2008 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Greystone Park Mobile Homes... |
Jan. 7, 2012
Dec. 9, 2011 |