57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement Denied | Michael John Florio | Aaron A. DelSignore v. UBS ... |
Feb. 2, 2018
Dec. 28, 2017 |
|
Securities
Stocks
Verdict:
$9,500,000
|
$9,500,000
|
In Re McKesson HBOC Inc. Se... |
Jan. 12, 2013
Nov. 28, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$37,500,000
|
$37,500,000
|
Jeffrey Schulein, et al. v.... |
Feb. 13, 2016
Mar. 16, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph E. Czarnecki, Nancy ... |
Feb. 8, 2014
Jan. 14, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Edward Wayne Butowsky v. Mo... |
Mar. 25, 2017
Jan. 27, 2017 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Annabelle Datzker Trust, as... |
Jun. 19, 2020
Mar. 19, 2020 |
|
|
Securities
Fraud and Gross Negligence |
Respondent | Peter H. Daly | E. Thomas Clark Jr., aka El... |
Nov. 10, 2017
Sep. 11, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$137,000
|
$137,000
|
Edward J. Davila | Securities and Exchange Com... |
Apr. 10, 2025
Mar. 28, 2024 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Alex Binai v. Royal Allianc... |
Aug. 3, 2013
Jul. 23, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Lyn Freeman, individually a... |
Mar. 25, 2017
Jan. 25, 2017 |
|
|
Securities
Securities Exchange Act
Verdict:
$100,000
|
$100,000
|
Jon S. Tigar | Securities and Exchange Com... |
Feb. 21, 2025
Jan. 14, 2025 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Chris's Stuff 401K Profit S... |
Jun. 28, 2014
Feb. 21, 2014 |
|
|
Securities
Violations of Exchange Act
Verdict:
$8,500,000
|
$8,500,000
|
Robert Curry v. Hansen Medi... |
Aug. 10, 2013
Jul. 25, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
United Micronesia Developme... |
Jul. 13, 2013
Jun. 26, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$1,500,000
|
$1,500,000
|
Edward J. Davila | In Re Kalobios Pharmaceutic... |
Jan. 11, 2019
Mar. 21, 2018 |
|
Securities
Expungement |
Expungement | Thomas D. Reese | Richard M. Del Monte v. Sec... |
Mar. 1, 2019
Jan. 10, 2019 |
|
Securities
Securities Fraud
Verdict:
$2,462,900,000
|
$2,462,900,000
|
Lawrence E. Jaffe Pension P... |
Nov. 9, 2013
Oct. 17, 2013 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Claimant |
Grant Arthur Gochin v. UBS ... |
Jan. 24, 2015
Dec. 14, 2014 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Nabil Athanassious, Janette... |
Mar. 1, 2014
Feb. 4, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Defense |
Munjal Mehta, individually ... |
Oct. 25, 2014
Jun. 19, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$18,442
|
$18,442
|
Jordan H. Moffet, Margot A.... |
Nov. 27, 2010
Nov. 9, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bruce Vazzana, Ann Vazzana,... |
Mar. 25, 2017
Jan. 13, 2017 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent |
Moshe Amiad, Yariv Amiad, R... |
Oct. 4, 2014
Sep. 16, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Steven Badeau; Geneva BCCX ... |
May 26, 2012
Apr. 9, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Felyce Thomas v. James B. C... |
Nov. 28, 2015
Oct. 29, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Alan Barrett, Margaret Barr... |
Apr. 1, 2017
Jan. 7, 2017 |
|
|
Securities
Expungement |
Expungement | Robert E. Jenks Jr. | Jerald Joseph Halverson, Mi... |
Feb. 2, 2018
Dec. 6, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$13,000,000
|
$13,000,000
|
Beth L. Freeman | In re: Precigen Inc. Securi... |
Jan. 5, 2024
Jul. 7, 2023 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Douglas Anthony Bott v. UBS... |
Feb. 2, 2013
Jan. 14, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Phillip Parriott, as Truste... |
Mar. 1, 2014
Feb. 3, 2014 |