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57293 Rulings

Topic Case Name Published / Result

Securities

Securities
NASD
Verdict: $76,600
James S. Dickerson on behal... Oct. 28, 2006
    Jan. 26, 2006
Securities
Breach of Fiduciary Duty
Verdict: -$1
Carolyn Erskine v. Michael ... Dec. 20, 2014
    Nov. 18, 2014
Securities
Fraud
Verdict: -$1
Securities and Exchange Com... May 29, 2010
    Apr. 23, 2010
Securities
Securities Fraud
Verdict: $147,000,000
Securities and Exchange Com... Mar. 26, 2016
    Feb. 23, 2016
Securities
Stocks
Verdict: $329,239
Joan Kushner, Michael Eggim... Sep. 22, 2012
    Aug. 30, 2012
Securities
Breach of Fiduciary Duty
Verdict: -$1
10100 Culver City LLC, Farr... Dec. 13, 2014
    Nov. 19, 2014
Securities
Breach of Contract
Verdict: -$1
Scott Singleton v. E-Trade ... Oct. 31, 2015
    Aug. 28, 2015
Securities
Negligence
Verdict: $118,217
Lori A. Strayn, individuall... Mar. 23, 2013
    Mar. 7, 2013
Securities
Breach of Fiduciary Duty
Verdict: -$1
Kent E. Wilson, D.D.S., et ... Jun. 21, 2008
    May 7, 2008
Securities
Breach of Fiduciary Duty
Verdict: $485,000
Benjamin L. Hoch, an indivi... Dec. 13, 2014
    Nov. 19, 2014
Securities
Fraud
Verdict: $160,000,000
In re Brocade Securities Li... Jul. 26, 2008
    Jun. 2, 2008
Securities
Negligence
Verdict: $18,500
Jeanne Johnson v. UBS Finan... Jan. 29, 2011
    Dec. 28, 2010
Securities
Violations of Exchange Act
Verdict: $2,125,000
James Rose v. Deer Consumer... Aug. 24, 2013
    Aug. 9, 2013
Securities
Expungement
Verdict: -$1
Charles Schwab & Co. Inc. v... Oct. 20, 2012
    Sep. 19, 2012
Securities
Breach of Contract
Verdict: $435,383
Patrick "Brian" FitzWilliam... Sep. 7, 2013
    Aug. 15, 2013
Securities
Suitability
Verdict: -$1
Jeffrey Colflesh, et al. v.... Aug. 4, 2012
    Jun. 28, 2012
Securities
Breach of Contract
Verdict: -$1
Edward Jones v. John C. Lin... Aug. 10, 2013
    Jul. 29, 2013
Securities
Securities Fraud
Verdict: $3,150,000
Ramon Gomez, on behalf of h... Mar. 30, 2013
    Feb. 21, 2013
Securities
Stocks
Verdict: $2,800,000
James E. Fisher, individual... Aug. 17, 2013
    Jul. 18, 2013
Securities
Derivative Suit
Verdict: -$1
Lawrence Zucker v. Marc L. ... Jul. 28, 2012
    Jun. 22, 2012
Securities
Fraud
Verdict: $235,000,000
In re Charles Schwab Corp. ... Jun. 12, 2010
    May 25, 2010
Securities
Securities Fraud
Verdict: $850,000
Securities And Exchange Com... Mar. 30, 2013
    Feb. 27, 2013
Securities
Breach of Fiduciary Duty
Verdict: $450,000
The Tanya Martino Trust UAD... Mar. 17, 2007
    Nov. 10, 2006
Securities
Securities Fraud
Verdict: $2,800,000
Securities and Exchange Com... Mar. 19, 2016
    Feb. 23, 2016
Securities
Breach of Fiduciary Duty
Verdict: -$1
Dan Katz, Peter Van Nuis an... Dec. 31, 2011
    Dec. 6, 2011
Securities
NASD
Verdict: -$1
Wells Fargo Investments, LL... Oct. 28, 2006
    Apr. 21, 2006
Securities
FINRA Rules
Verdict: -$1
Grant Arthur Gochin v. UBS ... Jan. 24, 2015
    Dec. 14, 2014
Securities
Breach of Fiduciary Duty
Verdict: -$1
Yvonne D. Kloehn v. Wells F... Aug. 24, 2013
    Aug. 12, 2013
Securities
Breach of Fiduciary Duty
Verdict: -$1
Fred Hetzel v. Alpha Omega ... Feb. 14, 2015
    Apr. 7, 2014
Securities
Breach of Fiduciary Duty
Verdict: $1,500,000
Mathew Zuckerman, Intermoun... Sep. 3, 2011
    Mar. 30, 2011