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57293 Rulings

Topic Case Name Published / Result

Securities

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