57293 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Violations of Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Tom Palny, Xuecheng Yang v.... |
May 31, 2014
May 13, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$750,000
|
$750,000
|
Hillcrest Children's Center... |
May 31, 2014
May 12, 2014 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Louis Saadeh, individually ... |
Dec. 20, 2014
May 21, 2014 |
|
Securities
Fraud
Verdict:
$58,183
|
$58,183
|
James H. Donell, Receiver f... |
Jan. 3, 2015
Apr. 29, 2014 |
|
Securities
Breach of Contract
Verdict:
$1,165,000
|
$1,165,000
|
Albertus Niehuis Jr., Andre... |
May 24, 2014
Apr. 30, 2014 |
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
In re Hot Topic Inc. Securi... |
Jan. 3, 2015
May 2, 2014 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Teresa Sue Harmon v. Wells ... |
May 24, 2014
May 2, 2014 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Thomas Frances Nelson v. UB... |
Jan. 3, 2015
Apr. 29, 2014 |
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Armando Palomino v. Wells F... |
May 31, 2014
Apr. 23, 2014 |
|
Securities
Employment
Verdict:
-$1
|
-$1
$411,624 to Respondent |
Charles Tom Lawson v. Morga... |
May 17, 2014
Apr. 21, 2014 |
|
Securities
Breach of Duty
Verdict:
$1,802,860
|
$1,802,860
|
Royal Yates v. GunnAllen Fi... |
Jul. 29, 2006
May 11, 2006 |
|
Securities
Breach of Contract
Verdict:
$50,000
|
$50,000
|
Deanna Lynn Buchholz v. Cam... |
May 24, 2014
Apr. 28, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Richard Amtower v. Photon D... |
Jul. 15, 2006
May 5, 2006 |
|
Securities
Fraud
Verdict:
$1,367,000
|
$1,367,000
|
Heinrich Hardt, Araceli Har... |
Mar. 10, 2012
Feb. 10, 2012 |
|
Securities
Stocks
Verdict:
$329,239
|
$329,239
|
Joan Kushner, Michael Eggim... |
Sep. 22, 2012
Aug. 30, 2012 |
|
Securities
Fraud
Verdict:
$249,071
|
$249,071
|
Kent E. Wilson, Michael D. ... |
Jul. 8, 2006
May 10, 2006 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Martin Brookes v. Matthew J... |
Sep. 22, 2012
Aug. 30, 2012 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Fred H. Guenther Jr. v. Cro... |
Aug. 17, 2013
Aug. 1, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$155,450
|
$155,450
|
John C. Jones v. Wells Farg... |
Jun. 12, 2010
May 20, 2010 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Thomas Edwin Logan v. Linco... |
Jun. 12, 2010
May 25, 2010 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$5,000 (against Wells Fargo) |
Walter Cole and Antoinette ... |
May 29, 2010
May 6, 2010 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
$57,000,000 (as of May 3, 2010) |
In re Sequenom, Inc. Securi... |
Sep. 4, 2010
Aug. 27, 2010 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Liability |
Securities and Exchange Com... |
May 29, 2010
Apr. 23, 2010 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Chris's Stuff 401K Profit S... |
Jun. 28, 2014
Feb. 21, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
John C. Porter, Successor T... |
Oct. 24, 2015
Aug. 17, 2015 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,405,390
|
$1,405,390
|
Jane Ellison Usher, both in... |
Dec. 17, 2011
Nov. 29, 2011 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
John D. Haas, Kathy Haas, N... |
Jan. 16, 2016
Nov. 19, 2015 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Irving J. Nast v. Equities ... |
Jan. 16, 2016
Nov. 24, 2015 |
|
Securities
Negligence
Verdict:
$275,987
|
$275,987
|
Shirley Peltier v. Cullum &... |
Jan. 16, 2016
Nov. 19, 2015 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Michael R. Smith, Carole Sm... |
Jan. 16, 2016
Sep. 3, 2015 |