57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Sanofi-Aventis Securi... |
Feb. 8, 2014
Sep. 23, 2013 |
|
|
Securities
Expungement |
Expungement | Allen Frances Schreiber v. ... |
Mar. 20, 2020
Dec. 24, 2019 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Feb. 9, 2013
Jan. 23, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$25,000,000
|
$25,000,000
|
R. Gary Klausner | Trevor Mild, Individually a... |
Feb. 7, 2020
Nov. 22, 2019 |
|
Securities
Securities Fraud
Verdict:
$2,300,000
|
$2,300,000
|
Mark C. Scarsi | Securities and Exchange Com... |
Apr. 8, 2022
Mar. 9, 2022 |
|
Securities
Breach of Contract
Verdict:
$346,241
|
$346,241
|
Richard Justin Lumelleau v.... |
Aug. 17, 2013
Aug. 2, 2013 |
|
|
Securities
Expungement |
Claimant | Luis-Diego Quiroz v. J.P. M... |
Aug. 14, 2020
Jun. 3, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Joan A. Lane v. Capwest Sec... |
Jan. 21, 2012
Oct. 11, 2011 |
|
|
Securities
Expungement |
Expungement | Robert D. Sussin | Albert Alan Aizin v. Syndic... |
May 3, 2019
Mar. 23, 2019 |
|
Securities
Fraud
Verdict:
$7,500,000
|
$7,500,000
|
People of the State of Cali... |
Nov. 29, 2008
Sep. 2, 2008 |
|
|
Securities
Securities Exchange Act
Verdict:
$5,998,000
|
$5,998,000
|
David O. Carter | Securities and Exchange Com... |
Dec. 10, 2021
Nov. 19, 2021 |
|
Securities
Securities Fraud
Verdict:
$4,800,000
|
$4,800,000
|
Janis L. Sammartino | Karim Khoja, on behalf of h... |
Jun. 11, 2021
Apr. 22, 2021 |
|
Securities
Negligence
Verdict:
$17,500,000
|
$17,500,000
|
In re Aqueous Film-Forming ... |
Apr. 30, 2021
Mar. 29, 2021 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Seymour Berger and Barbara ... |
Sep. 21, 2013
Sep. 9, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Patricia A. Meyer, Robert H... |
Dec. 19, 2009
Oct. 31, 2009 |
|
|
Securities
Violations of Exchange Act
Verdict:
$2,125,000
|
$2,125,000
|
James Rose v. Deer Consumer... |
Aug. 24, 2013
Aug. 9, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$1,400,000
|
$1,400,000
|
Wells Fargo Clearing Servic... |
Jun. 26, 2020
Mar. 26, 2020 |
|
|
Securities
Securities Fraud |
Dismissal | Maxine M. Chesney | In re Wells Fargo & Company... |
Mar. 4, 2022
Feb. 7, 2022 |
|
Securities
Breach of Promissory Note
Verdict:
$401,364
|
$401,364
|
Morgan Stanley Smith Barney... |
Feb. 9, 2013
Jan. 29, 2013 |
|
|
Securities
Suitability
Verdict:
$17,680
|
$17,680
|
Stephen Picarello on behalf... |
May 25, 2013
May 8, 2013 |
|
|
Securities
NASD
Verdict:
$194,015
|
$194,015
|
Deanna Johnson, Clint A. Jo... |
Jun. 16, 2007
Jan. 2, 2007 |
|
|
Securities
Breach of Promissory Note
Verdict:
$175,734
|
$175,734
|
Ameriprise Financial Servic... |
Apr. 26, 2014
Mar. 28, 2014 |
|
|
Securities
Expungement |
Expungement | Mark A. Bilawsky | Anthony Claude Marcello III... |
Mar. 15, 2019
Jan. 19, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$35,952
|
$35,952
|
Daryl Olson v. John Francis... |
Feb. 8, 2014
Jan. 22, 2014 |
|
|
Securities
Expungement |
Expungement | Robert D. Sussin | Allen Frances Schreiber v. ... |
Jan. 11, 2019
Nov. 6, 2018 |
|
Securities
Breach of Contract
Verdict:
$4,503
|
$4,503
|
SharesPost Financial Corp. ... |
Oct. 31, 2015
Sep. 12, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kimon P. Daifotis v. Jinni ... |
Jun. 18, 2011
May 6, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph S. Mizrahi, individu... |
Oct. 24, 2015
Sep. 3, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Lyle W. Swenson Jr., Michel... |
Feb. 25, 2012
Jan. 20, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Lewis Wilder, as Trustee fo... |
Oct. 18, 2014
Mar. 31, 2014 |