57343 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$32,500,000
|
$32,500,000
|
Massachusetts Bricklayers a... |
May 19, 2012
Apr. 24, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Lewis Wilder, as Trustee fo... |
Oct. 18, 2014
Mar. 31, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$175,734
|
$175,734
|
Ameriprise Financial Servic... |
Apr. 26, 2014
Mar. 28, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Fred Hetzel v. Alpha Omega ... |
Feb. 14, 2015
Apr. 7, 2014 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Maine State Retirement Syst... |
Dec. 18, 2010
Nov. 4, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
$22,482,300
|
$22,482,300
|
Securities and Exchange Com... |
May 31, 2014
May 15, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$4,800,000
|
$4,800,000
|
In Re American Apparel Inc.... |
May 31, 2014
Apr. 16, 2014 |
|
|
Securities
Fraud
Verdict:
$500,000
|
$500,000
|
William Quiros v. Merrill L... |
Dec. 18, 2010
Nov. 17, 2010 |
|
|
Securities
Violations of Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Tom Palny, Xuecheng Yang v.... |
May 31, 2014
May 13, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$750,000
|
$750,000
|
Hillcrest Children's Center... |
May 31, 2014
May 12, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Louis Saadeh, individually ... |
Dec. 20, 2014
May 21, 2014 |
|
|
Securities
Fraud
Verdict:
$58,183
|
$58,183
|
James H. Donell, Receiver f... |
Jan. 3, 2015
Apr. 29, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Kelsey Phipps Living Trust ... |
Apr. 1, 2006
Dec. 24, 2005 |
|
|
Securities
Suitability
Verdict:
$163,050
|
$163,050
|
Richard Remington v. Omar I... |
May 31, 2014
May 7, 2014 |
|
|
Securities
Fraud
Verdict:
$150,000
|
$150,000
|
Securities and Exchange Com... |
Dec. 10, 2011
Nov. 22, 2011 |
|
|
Securities
Sex Discrimination
Verdict:
$78,262
|
$78,262
|
Wendy Austin Rea v. Wedbush... |
Dec. 18, 2010
Nov. 11, 2010 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement |
Robert Brian Reynolds v. Mo... |
May 31, 2014
May 9, 2014 |
|
|
Securities
Negligence
Verdict:
$280,000,000
|
$280,000,000
|
Plumbers' & Pipefitters' Lo... |
May 31, 2014
May 2, 2014 |
|
|
Securities
Violation of the Securities Act
Verdict:
$5,799,770
|
$5,799,770
|
Securities and Exchange Com... |
May 31, 2014
May 12, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
John Shishko Revocable Trus... |
Jan. 25, 2014
Jan. 6, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$1,165,000
|
$1,165,000
|
Albertus Niehuis Jr., Andre... |
May 24, 2014
Apr. 30, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
In re Hot Topic Inc. Securi... |
Jan. 3, 2015
May 2, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Teresa Sue Harmon v. Wells ... |
May 24, 2014
May 2, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Janelle Hansen, Janelle Han... |
Aug. 16, 2014
Jul. 22, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Thomas Frances Nelson v. UB... |
Jan. 3, 2015
Apr. 29, 2014 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Joseph R. Loprieato, Peggy ... |
May 24, 2014
Apr. 29, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,359
|
$1,359
|
WT Acquisition LLC v. E*Tra... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Breach of Promissory Note
Verdict:
$124,136
|
$124,136
|
Wachovia Securities LLC v. ... |
Jan. 8, 2011
Dec. 2, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Dr. Byron Crawford v. Rober... |
Aug. 16, 2014
Jul. 24, 2014 |
|
|
Securities
FINRA Rules
Verdict:
$500,000
|
$500,000
|
In the Matter of Department... |
Dec. 20, 2014
Apr. 24, 2014 |