57324 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,159,000
|
$1,159,000
|
Aaron Fenton | Confidential |
Aug. 17, 1996
Jun. 28, 1996 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$20,000
|
$20,000
|
Richard Watts, Sally W. Wat... |
Sep. 17, 2011
Jun. 17, 2011 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Jason Roberts Coles v. Fide... |
Oct. 26, 2013
Oct. 10, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Donald A. Bowman, Eileen H.... |
Apr. 4, 2015
Feb. 9, 2015 |
|
|
Securities
Fraud
Verdict:
$872,000
|
$872,000
|
Securities and Exchange Com... |
Dec. 29, 2007
Sep. 12, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$23,761
|
$23,761
|
Securities and Exchange Com... |
Jul. 30, 2011
Jun. 8, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Georgia Alexander v. Citigr... |
Dec. 14, 2013
Apr. 10, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
Roberta Noel Britt, Roberta... |
Mar. 28, 2015
Feb. 25, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$427,120
|
$427,120
|
U.S. Securities and Exchang... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Jay H. Mintz, IRA Rollover,... |
Mar. 20, 2010
Feb. 2, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Letitia McKee Cooper, Coope... |
Feb. 4, 2017
Nov. 15, 2016 |
|
|
Securities
Fraud
Verdict:
$300,000
|
$300,000
|
In the Matter of Raymond J.... |
Jul. 20, 2013
Jul. 8, 2013 |
|
|
Securities
Negligence
Verdict:
$36,817,300
|
$36,817,300
|
Linda J. Beeson, et al. v. ... |
Apr. 11, 2015
Dec. 12, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$4,570,520
|
$4,570,520
|
Guadalupe Sandoval, Javier ... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Clare Rose Living Trust, Da... |
Mar. 28, 2015
Feb. 20, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal with prejudice |
In re Century Aluminum Co. ... |
Apr. 9, 2011
Mar. 3, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In Re Vical Incorporated Se... |
May 9, 2015
Mar. 9, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,726,880
|
$1,726,880
|
Thomas Brookhouzen, Hugh Da... |
Jul. 3, 2010
May 27, 2010 |
|
|
Securities
Employment
Verdict:
$222,750
|
$222,750
|
Joseph Alan Seidler v. Kevi... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$15,368
|
$15,368
|
William A. Tudor and Kathle... |
Jul. 10, 2010
Jun. 4, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Lawrence W. Hake, M.D. v. M... |
Apr. 4, 2015
Feb. 26, 2015 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Cement Masons & Plasterers ... |
Jul. 20, 2013
Jun. 12, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
David Shamsian, Roya Shamsi... |
Feb. 4, 2017
Nov. 3, 2016 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
John Phillip Toman Jr. v. M... |
Jul. 6, 2013
Jun. 14, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$200,000
|
$200,000
|
Robert W. Ralston, Susan B.... |
Sep. 24, 2011
Jul. 1, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Paul Norman v. Citigroup Gl... |
Mar. 13, 2010
Feb. 25, 2010 |
|
|
Securities
Negligence
Verdict:
$323,122
|
$323,122
|
D Vollstedt & S Vollstedt T... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$1,523,840
|
$1,523,840
|
Securities and Exchange Com... |
Apr. 23, 2011
Aug. 17, 2010 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement Denied |
Randall Larry Krenzin v. Me... |
Jun. 27, 2015
Mar. 4, 2015 |
|
|
Securities
Fraud
Verdict:
$273,119
|
$273,119
|
Laurie Dee Miranda v. Craig... |
Dec. 20, 2014
Nov. 13, 2014 |