57293 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
NASD
Verdict:
$76,600
|
$76,600
|
James S. Dickerson on behal... |
Oct. 28, 2006
Jan. 26, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Carolyn Erskine v. Michael ... |
Dec. 20, 2014
Nov. 18, 2014 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Liability |
Securities and Exchange Com... |
May 29, 2010
Apr. 23, 2010 |
|
Securities
Securities Fraud
Verdict:
$147,000,000
|
$147,000,000
|
Securities and Exchange Com... |
Mar. 26, 2016
Feb. 23, 2016 |
|
Securities
Stocks
Verdict:
$329,239
|
$329,239
|
Joan Kushner, Michael Eggim... |
Sep. 22, 2012
Aug. 30, 2012 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
10100 Culver City LLC, Farr... |
Dec. 13, 2014
Nov. 19, 2014 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Defense |
Scott Singleton v. E-Trade ... |
Oct. 31, 2015
Aug. 28, 2015 |
|
Securities
Negligence
Verdict:
$118,217
|
$118,217
|
Lori A. Strayn, individuall... |
Mar. 23, 2013
Mar. 7, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$89,389 (attorneys fees) |
Kent E. Wilson, D.D.S., et ... |
Jun. 21, 2008
May 7, 2008 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$485,000
|
$485,000
|
Benjamin L. Hoch, an indivi... |
Dec. 13, 2014
Nov. 19, 2014 |
|
Securities
Fraud
Verdict:
$160,000,000
|
$160,000,000
|
In re Brocade Securities Li... |
Jul. 26, 2008
Jun. 2, 2008 |
|
Securities
Negligence
Verdict:
$18,500
|
$18,500
|
Jeanne Johnson v. UBS Finan... |
Jan. 29, 2011
Dec. 28, 2010 |
|
Securities
Violations of Exchange Act
Verdict:
$2,125,000
|
$2,125,000
|
James Rose v. Deer Consumer... |
Aug. 24, 2013
Aug. 9, 2013 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
Securities
Breach of Contract
Verdict:
$435,383
|
$435,383
|
Patrick "Brian" FitzWilliam... |
Sep. 7, 2013
Aug. 15, 2013 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Jeffrey Colflesh, et al. v.... |
Aug. 4, 2012
Jun. 28, 2012 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Edward Jones v. John C. Lin... |
Aug. 10, 2013
Jul. 29, 2013 |
|
Securities
Securities Fraud
Verdict:
$3,150,000
|
$3,150,000
|
Ramon Gomez, on behalf of h... |
Mar. 30, 2013
Feb. 21, 2013 |
|
Securities
Stocks
Verdict:
$2,800,000
|
$2,800,000
|
James E. Fisher, individual... |
Aug. 17, 2013
Jul. 18, 2013 |
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Dismissal |
Lawrence Zucker v. Marc L. ... |
Jul. 28, 2012
Jun. 22, 2012 |
|
Securities
Fraud
Verdict:
$235,000,000
|
$235,000,000
|
In re Charles Schwab Corp. ... |
Jun. 12, 2010
May 25, 2010 |
|
Securities
Securities Fraud
Verdict:
$850,000
|
$850,000
|
Securities And Exchange Com... |
Mar. 30, 2013
Feb. 27, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$450,000
|
$450,000
|
The Tanya Martino Trust UAD... |
Mar. 17, 2007
Nov. 10, 2006 |
|
Securities
Securities Fraud
Verdict:
$2,800,000
|
$2,800,000
|
Securities and Exchange Com... |
Mar. 19, 2016
Feb. 23, 2016 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Dan Katz, Peter Van Nuis an... |
Dec. 31, 2011
Dec. 6, 2011 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Wells Fargo Investments, LL... |
Oct. 28, 2006
Apr. 21, 2006 |
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Claimant |
Grant Arthur Gochin v. UBS ... |
Jan. 24, 2015
Dec. 14, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Yvonne D. Kloehn v. Wells F... |
Aug. 24, 2013
Aug. 12, 2013 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Fred Hetzel v. Alpha Omega ... |
Feb. 14, 2015
Apr. 7, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Mathew Zuckerman, Intermoun... |
Sep. 3, 2011
Mar. 30, 2011 |