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57927 Rulings

Topic Case Name Published / Result

Securities

Securities
Stocks
Verdict: -$1
Sandra Lifschitz v. Nextwav... May 12, 2012
    Nov. 21, 2011
Securities
Violation of the Securities Act
Verdict: $14,000,000
Linda Wong, individually an... Feb. 8, 2014
    Oct. 4, 2013
Securities
Securities Fraud
Verdict: $16,763,034
Securities and Exchange Com... May 17, 2019
    Apr. 2, 2019
Securities
Securities Exchange Act
Verdict: $25,000,000
Trevor Mild, Individually a... Feb. 7, 2020
    Nov. 22, 2019
Securities
Breach of Contract
Verdict: -$1
Wells Fargo Advisors Financ... Jan. 29, 2011
    Dec. 29, 2010
Securities
Expungement
Michael Frank Greenstone v.... Sep. 25, 2020
    Jul. 21, 2020
Securities
Breach of Contract
Verdict: $980,000
Ellen S. Foster v. Matthew ... Jan. 14, 2012
    Dec. 12, 2011
Securities
Breach of Fiduciary Duty
Verdict: -$1
Yvonne D. Kloehn v. Wells F... Aug. 24, 2013
    Aug. 12, 2013
Securities
Expungement
Marc Alan Johnson v. Wells ... Mar. 8, 2019
    Dec. 14, 2018
Securities
Breach of Fiduciary Duty
Verdict: -$1
Kenneth E. Chyten v. United... Feb. 14, 2009
    Jan. 23, 2009
Securities
Breach of Fiduciary Duty
Verdict: -$1
Amardeep Misha, Elizabeth T... Feb. 14, 2009
    Jan. 16, 2009
Securities
Breach of Contract
Verdict: $326,176
Credit Suisse Securities (U... Jan. 29, 2011
    Dec. 30, 2010
Securities
Securities Fraud
Verdict: $7,924,240
Securities and Exchange Com... May 25, 2013
    Apr. 26, 2013
Securities
Breach of Contract
Verdict: -$1
Sharyl J. Lee, individually... Apr. 27, 2013
    Apr. 9, 2013
Securities
Suitability
Verdict: -$1
Donald Stunkart v. Edward J... Jan. 4, 2014
    Dec. 11, 2013
Securities
Securities Exchange Act
Verdict: -$1
Allianz Risk Transfer Inc.,... Nov. 15, 2014
    Oct. 30, 2014
Securities
Violation of the Securities Act
Verdict: -$1
U.S Securities and Exchange... Jan. 4, 2014
    Dec. 10, 2013
Securities
Expungement
Stephen Mark Seewer v. Well... Mar. 1, 2019
    Dec. 17, 2018
Securities
Breach of Contract
Verdict: $607,568
UBS Financial Services Inc.... Jan. 4, 2014
    Dec. 11, 2013
Securities
Violations of Exchange Act
Verdict: -$1
Thomas J. Primo v. Pacific ... May 4, 2013
    Apr. 15, 2013
Securities
Expungement
Verdict: -$1
Brannan Paul Vaughan v. Mor... Jul. 6, 2013
    Jun. 13, 2013
Securities
Breach of Fiduciary Duty
Verdict: $20,000
Richard Watts, Sally W. Wat... Sep. 17, 2011
    Jun. 17, 2011
Securities
Breach of Fiduciary Duty
Verdict: $734,118
Josephine Wayman v. Securit... Jan. 29, 2011
    Dec. 31, 2010
Securities
Breach of Fiduciary Duty
Verdict: -$1
Metal Finishing Association... Sep. 17, 2011
    Jun. 9, 2011
Securities
Unfair Competition
Verdict: -$1
Wells Fargo Advisors LLC v.... May 4, 2013
    Apr. 18, 2013
Securities
Breach of Contract
Verdict: $120,362
Morgan Stanley Smith Barney... Sep. 24, 2011
    May 3, 2011
Securities
Securities Exchange Act
Yogina Rezko v. XBiotech In... Mar. 1, 2019
    Nov. 27, 2018
Securities
Breach of Fiduciary Duty
Verdict: -$1
Gilbert H. Quintana, IRA; G... Apr. 28, 2012
    Feb. 28, 2012
Securities
Breach of Fiduciary Duty
Verdict: $510,889
Negotiart of America Inc. v... Mar. 1, 2014
    Feb. 6, 2014
Securities
Securities Fraud
Verdict: -$1
Rhonda Foster v. Private As... Mar. 17, 2012
    Feb. 20, 2012