57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Clara M. Hickle v. Wells Fa... |
Jan. 19, 2013
Dec. 31, 2012 |
|
|
Securities
Employment |
Respondent | Steven Gourley | Farid Morim v. J.P. Morgan ... |
Sep. 1, 2017
May 20, 2017 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Edward A. Trabin | Ronnie Harper, individually... |
Sep. 1, 2017
Jun. 2, 2017 |
|
Securities
Securities Fraud |
Dismissal | Charles R. Breyer | Huei-Ting Kang, individuall... |
Sep. 22, 2023
Apr. 27, 2023 |
|
Securities
Expungement |
Expungement | Kevin K. Forrester | Nisha Sandeep Varma v. LPL ... |
May 31, 2019
Apr. 4, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$685,579
|
$685,579
|
Ralph A. Cotton | Bonnie Bolle, individually ... |
Jan. 26, 2018
Dec. 20, 2017 |
|
Securities
Securities Fraud
Verdict:
$6,283,079
|
$6,283,079
|
Richard Seeborg | Securities and Exchange Com... |
Apr. 11, 2025
Jul. 25, 2024 |
|
Securities
Securities Fraud
Verdict:
$35,750,000
|
$35,750,000
|
In re STEC Inc. Securities ... |
Mar. 23, 2013
Mar. 5, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$90,961
|
$90,961
Consent Judgment |
Securities and Exchange Com... |
Feb. 7, 2015
Dec. 23, 2014 |
|
|
Securities
Commodities |
Dismissal | M. James Lorenz | Hodl Law PLLC v. Securities... |
Nov. 10, 2023
Jul. 28, 2023 |
|
Securities
Securities Fraud |
Respondent | Susan Romano | George Lawlor v. Merrill Ly... |
May 3, 2019
Mar. 21, 2019 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Joan Levin v. Wedbush Morga... |
Jan. 27, 2007
Apr. 11, 2006 |
|
|
Securities
Expungement |
Expungement | Elliott D. Finkel | Peter Edward Cunningham v. ... |
May 3, 2019
Mar. 22, 2019 |
|
Securities
Stocks
Verdict:
-$1
|
-$1
Preliminary Injunction Granted |
Greenlight Capital LP et al... |
Mar. 9, 2013
Feb. 22, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$35,952
|
$35,952
|
Daryl Olson v. John Francis... |
Feb. 8, 2014
Jan. 22, 2014 |
|
|
Securities
Unsuitability
Verdict:
$170,062
|
$170,062
|
Debra Bitney, individually ... |
Jan. 26, 2018
Dec. 12, 2017 |
|
|
Securities
Fraud
Verdict:
$240,000
|
$240,000
|
Confidential |
Feb. 14, 1998
Dec. 16, 1997 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$667,725
|
$667,725
|
Gerald W. Hepp | Carpenter Law Firm Defined ... |
Jun. 14, 2019
Apr. 29, 2019 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
William T. Hampton, individ... |
Jan. 23, 2016
Nov. 2, 2015 |
|
|
Securities
Verdict:
$1,500,000
|
$1,500,000
|
Thomas S. Hixson | United States of America v.... |
Apr. 1, 2022
Mar. 3, 2022 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Saadeh Corporation v. Merri... |
May 12, 2012
Oct. 4, 2011 |
|
|
Securities
Unfair Business Practices
Verdict:
$14,500
|
$14,500
|
James Gordon v. E Trade Sec... |
Mar. 25, 2017
Jan. 24, 2017 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Vince Bonato v. Yahoo! Inc.... |
Sep. 1, 2012
Aug. 14, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent |
Leprino Foods Co. v. BNY Me... |
Nov. 3, 2012
Oct. 9, 2012 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Respondent |
Charles Schwab & Co. Inc. v... |
Sep. 20, 2014
Aug. 25, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Steven Badeau; Geneva BCCX ... |
May 26, 2012
Apr. 9, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Equitable Settlement |
Damien Moore v. Charles Sch... |
May 26, 2012
Apr. 17, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$809,000,000
|
$809,000,000
|
Jon S. Tigar | In re Twitter Inc. Securiti... |
Oct. 8, 2021
Sep. 21, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Bradford Smith v. UBS Finan... |
Apr. 1, 2017
Jan. 23, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$18,250,000
|
$18,250,000
|
David O. Carter | In Re Merit Medical Systems... |
Jan. 21, 2022
|