57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Stocks
Verdict:
-$1
|
-$1
Dismissal |
Sandra Lifschitz v. Nextwav... |
May 12, 2012
Nov. 21, 2011 |
|
|
Securities
Violation of the Securities Act
Verdict:
$14,000,000
|
$14,000,000
|
Linda Wong, individually an... |
Feb. 8, 2014
Oct. 4, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$16,763,034
|
$16,763,034
|
Edward J. Davila | Securities and Exchange Com... |
May 17, 2019
Apr. 2, 2019 |
|
Securities
Securities Exchange Act
Verdict:
$25,000,000
|
$25,000,000
|
R. Gary Klausner | Trevor Mild, Individually a... |
Feb. 7, 2020
Nov. 22, 2019 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Equitable Settlement |
Wells Fargo Advisors Financ... |
Jan. 29, 2011
Dec. 29, 2010 |
|
|
Securities
Expungement |
Claimant | Michael Frank Greenstone v.... |
Sep. 25, 2020
Jul. 21, 2020 |
|
|
Securities
Breach of Contract
Verdict:
$980,000
|
$980,000
|
Ellen S. Foster v. Matthew ... |
Jan. 14, 2012
Dec. 12, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Yvonne D. Kloehn v. Wells F... |
Aug. 24, 2013
Aug. 12, 2013 |
|
|
Securities
Expungement |
Expungement | Ralph L. Halpern | Marc Alan Johnson v. Wells ... |
Mar. 8, 2019
Dec. 14, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement recommended |
Kenneth E. Chyten v. United... |
Feb. 14, 2009
Jan. 23, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent Stone liable, all other claims denied. |
Amardeep Misha, Elizabeth T... |
Feb. 14, 2009
Jan. 16, 2009 |
|
|
Securities
Breach of Contract
Verdict:
$326,176
|
$326,176
|
Credit Suisse Securities (U... |
Jan. 29, 2011
Dec. 30, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$7,924,240
|
$7,924,240
|
Securities and Exchange Com... |
May 25, 2013
Apr. 26, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Sharyl J. Lee, individually... |
Apr. 27, 2013
Apr. 9, 2013 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Donald Stunkart v. Edward J... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Allianz Risk Transfer Inc.,... |
Nov. 15, 2014
Oct. 30, 2014 |
|
|
Securities
Violation of the Securities Act
Verdict:
-$1
|
-$1
Defense |
U.S Securities and Exchange... |
Jan. 4, 2014
Dec. 10, 2013 |
|
|
Securities
Expungement |
Expungement | Mary M. Bush | Stephen Mark Seewer v. Well... |
Mar. 1, 2019
Dec. 17, 2018 |
|
Securities
Breach of Contract
Verdict:
$607,568
|
$607,568
|
UBS Financial Services Inc.... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal with leave to amend |
Thomas J. Primo v. Pacific ... |
May 4, 2013
Apr. 15, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Brannan Paul Vaughan v. Mor... |
Jul. 6, 2013
Jun. 13, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$20,000
|
$20,000
|
Richard Watts, Sally W. Wat... |
Sep. 17, 2011
Jun. 17, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$734,118
|
$734,118
|
Josephine Wayman v. Securit... |
Jan. 29, 2011
Dec. 31, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
Metal Finishing Association... |
Sep. 17, 2011
Jun. 9, 2011 |
|
|
Securities
Unfair Competition
Verdict:
-$1
|
-$1
Respondent |
Wells Fargo Advisors LLC v.... |
May 4, 2013
Apr. 18, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$120,362
|
$120,362
|
Morgan Stanley Smith Barney... |
Sep. 24, 2011
May 3, 2011 |
|
|
Securities
Securities Exchange Act |
Dismissal | Amy D. Hogue | Yogina Rezko v. XBiotech In... |
Mar. 1, 2019
Nov. 27, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Gilbert H. Quintana, IRA; G... |
Apr. 28, 2012
Feb. 28, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$510,889
|
$510,889
|
Negotiart of America Inc. v... |
Mar. 1, 2014
Feb. 6, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Rhonda Foster v. Private As... |
Mar. 17, 2012
Feb. 20, 2012 |
