57324 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Cement Masons & Plasterers ... |
Jul. 20, 2013
Jun. 12, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Robert Paul v. Peter Shieh ... |
Nov. 18, 2006
Sep. 7, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
For respondent Goldman, Sachs & Co. |
Geradons, S.L., Salvador Po... |
Jan. 5, 2008
Nov. 15, 2007 |
|
|
Securities
NASD
Verdict:
$1,250,000
|
$1,250,000
|
Shari Nolan v. Phillip D. H... |
Dec. 2, 2006
Jul. 18, 2006 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Equitable Agreement |
Securities and Exchange Com... |
Jul. 31, 2010
Jul. 16, 2010 |
|
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Denial |
Bobby Karim Panahi v. UBS F... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Paul F. Faberman | Darlene Darata v. McClurg C... |
Dec. 9, 2006
Sep. 27, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claimants |
Marion Thomas Risner, indiv... |
Aug. 21, 2010
Aug. 3, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Denise M. Sullivan v. Edwar... |
Aug. 21, 2010
Jul. 29, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,112,510
|
$1,112,510
|
Ame Wauters, Camilla Rogers... |
Aug. 21, 2010
Jul. 30, 2010 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
D.L. Gai, Trustee of the Ga... |
Dec. 21, 2013
Nov. 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Jeanette Andreas, Joel Andr... |
Aug. 21, 2010
Jul. 15, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In re Velti Securities Liti... |
Nov. 14, 2015
Oct. 1, 2015 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
$675,000 for respondent/cross-complainant Ina; $200,000 for respondent/cross-complainant Morilak; $733,000 for respondent/cross-complainant Parziale |
Banc of America Investment ... |
Jun. 9, 2007
Sep. 27, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$193,163
|
$193,163
|
Michael Armstrong, Michael ... |
Sep. 24, 2011
Jun. 22, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Paul Lemon v. Jeffrey James... |
Aug. 9, 2014
Jul. 9, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
$115,397.26 |
Daniel L. Villanueva Family... |
Sep. 24, 2011
Jun. 27, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Harry C. Zaban Jr., IRA Rol... |
Apr. 14, 2007
Oct. 3, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$17,212
|
$17,212
|
Stephen O'Laughlin v. E-Tra... |
Aug. 9, 2014
Jul. 10, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$6,215
|
$6,215
|
Vincent R. and Tracie D. He... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. v. Cha... |
Dec. 8, 2012
Nov. 8, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
OC Partners Inc. v. RBC Dai... |
May 12, 2012
Oct. 6, 2011 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Bruce Stewart, Trustee of t... |
Oct. 26, 2013
Oct. 9, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$458,000
|
$458,000
|
Wachovia Securities LLC v. ... |
Dec. 22, 2012
Nov. 29, 2012 |
|
|
Securities
NASD
Verdict:
$339,974
|
$339,974
|
Dolores White, individually... |
Dec. 30, 2006
Apr. 13, 2006 |
|
|
Securities
Securities Fraud
Verdict:
$105,000
|
$105,000
|
Theodore Zimbelman v. Kyle ... |
Feb. 4, 2017
Dec. 1, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,726,880
|
$1,726,880
|
Thomas Brookhouzen, Hugh Da... |
Jul. 3, 2010
May 27, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claims Denied |
Muri Trust, Mary K. Byrnes,... |
Oct. 1, 2011
Jul. 19, 2011 |
|
|
Securities
Commodities
Verdict:
$125,000,000
|
$125,000,000
|
New Orleans Employees' Reti... |
Sep. 24, 2011
Jul. 7, 2011 |
|
|
Securities
NASD
Verdict:
$9,500
|
$9,500
|
Wells Fargo Investments, LL... |
Dec. 2, 2006
May 1, 2006 |