57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$9,000,000
|
$9,000,000
|
In re Vocera Communications... |
Apr. 9, 2016
Mar. 4, 2016 |
|
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Denial |
Bobby Karim Panahi v. UBS F... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Expungement |
Expungement | Michael Shawn Bakos v. Fide... |
Apr. 17, 2020
Feb. 3, 2020 |
|
|
Securities
Breach of Promissory Note
Verdict:
$163,751
|
$163,751
|
Morgan Stanley Smith Barney... |
Dec. 21, 2013
Nov. 19, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Alpert, et. al. v. Stewart ... |
Oct. 26, 2013
Oct. 8, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kurt Bochner, individually ... |
Oct. 1, 2011
Jul. 20, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ronald L. Gershon | Patrick J. Schachle v. Merr... |
Dec. 9, 2006
Aug. 15, 2006 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Dismissal |
NestWorth Inc. v. Prager & ... |
Aug. 9, 2014
Jul. 10, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Frank Charles Miller v. Wel... |
Sep. 7, 2013
Aug. 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$45,000
|
$45,000
|
Jacqueline Picquelle v. Sco... |
Apr. 2, 2011
Mar. 15, 2011 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
William Ayers v. James Clar... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
National Integrity Life Ins... |
Jan. 19, 2013
Jun. 29, 2012 |
|
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
William Fieldman | Confidential |
Dec. 14, 1996
Nov. 1, 1996 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Scripsamerica Inc. v. Ironr... |
Sep. 26, 2015
Aug. 11, 2015 |
|
|
Securities
Expungement |
Claimant | Michael Frank Greenstone v.... |
Sep. 25, 2020
Jul. 21, 2020 |
|
|
Securities
NASD
Verdict:
$82,750
|
$82,750
|
J. Jeffrey Donnell v. Citig... |
Dec. 23, 2006
Apr. 11, 2006 |
|
|
Securities
Negligence
Verdict:
$25,000
|
$25,000
|
Steve R. Fraser v. Wachovia... |
Mar. 12, 2011
Feb. 11, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$50,000
|
$50,000
|
Angela C. Kamahi, Isaac Kam... |
Mar. 12, 2011
Feb. 9, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Christopher Gaertner, Jacqu... |
Dec. 28, 2013
Nov. 22, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
Howard Levine v. AtriCure Inc. |
Feb. 26, 2011
Dec. 29, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$19,750,000
|
$19,750,000
|
In re SunPower Securities L... |
Apr. 27, 2013
Feb. 1, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Douglas Anthony Bott v. UBS... |
Feb. 2, 2013
Jan. 14, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$761,497
|
$761,497
|
Securities and Exchange Com... |
Mar. 12, 2011
Jul. 28, 2010 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Jack Permutter, individuall... |
Oct. 22, 2011
Aug. 10, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Injunction |
Securities and Exchange Com... |
Apr. 9, 2016
Mar. 1, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$80,000,000
|
$80,000,000
|
Gordon Noble, et al. v. Gre... |
Jan. 23, 2016
Dec. 17, 2015 |
|
|
Securities
Fraud
Verdict:
$751,000
|
$751,000
|
Dzintra Janavs | Richard Crowther v. Richard... |
Oct. 31, 1998
Jul. 31, 1998 |
|
Securities
Securities Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Wayne C. Conlee, individual... |
Mar. 8, 2014
Jan. 21, 2014 |
|
|
Securities
Professional Negligence
Verdict:
$830,000
|
$830,000
|
Judith I. Graves v. Merrill... |
May 3, 2005
Feb. 17, 2005 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$53,000
|
$53,000
|
Lynda Adee v. Wachovia Secu... |
Jan. 15, 2011
Dec. 14, 2010 |