57293 Rulings
Topic | Verdict | Judge / ADR | Case Name | Published / Result |
---|---|---|---|---|
Securities |
||||
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement Denied |
Kenneth R. Hunt; Kenneth R.... |
Jan. 16, 2016
Dec. 29, 2015 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Paul J. McDonough, Ellen Mc... |
Apr. 7, 2012
Mar. 12, 2012 |
|
Securities
Breach of Promissory Note
Verdict:
$175,734
|
$175,734
|
Ameriprise Financial Servic... |
Apr. 26, 2014
Mar. 28, 2014 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Paul A. Heimberg, individua... |
Jan. 16, 2016
Dec. 18, 2015 |
|
Securities
Breach of Contract
Verdict:
$5,088,400
|
$5,088,400
|
Harwich East Plaza LLC v. V... |
Jun. 15, 2013
Jun. 4, 2013 |
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Lewis Wilder, as Trustee fo... |
Oct. 18, 2014
Mar. 31, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$734,118
|
$734,118
|
Josephine Wayman v. Securit... |
Jan. 29, 2011
Dec. 31, 2010 |
|
Securities
NASD
Verdict:
$50,000
|
$50,000
|
John P. and Ana Jahn, Trust... |
Nov. 11, 2006
Jan. 23, 2006 |
|
Securities
Fraud
Verdict:
$249,071
|
$249,071
|
Kent E. Wilson, Michael D. ... |
Jul. 8, 2006
May 10, 2006 |
|
Securities
Breach of Contract
Verdict:
$326,176
|
$326,176
|
Credit Suisse Securities (U... |
Jan. 29, 2011
Dec. 30, 2010 |
|
Securities
Securities Fraud
Verdict:
$156,250
|
$156,250
|
Patricia Castro and Alvaro ... |
Aug. 11, 2012
Jul. 13, 2012 |
|
Securities
Securities Fraud
Verdict:
$80,000,000
|
$80,000,000
|
Gordon Noble, et al. v. Gre... |
Jan. 23, 2016
Dec. 17, 2015 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Liability |
Securities and Exchange Com... |
May 29, 2010
Apr. 23, 2010 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Richard Amtower v. Photon D... |
Jul. 15, 2006
May 5, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$35,043
|
$35,043
|
Hildur M. French v. The Sec... |
Mar. 19, 2011
Jan. 27, 2011 |
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Respondent |
Fred S. Beaton and Fred S. ... |
Aug. 17, 2013
Aug. 2, 2013 |
|
Securities
Breach of Duty
Verdict:
$1,802,860
|
$1,802,860
|
Royal Yates v. GunnAllen Fi... |
Jul. 29, 2006
May 11, 2006 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Defense |
Jimmy D. Hair, Karen E. Hai... |
Feb. 5, 2011
Jan. 7, 2011 |
|
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
Expungement |
Bernie Bernheim APC Retirem... |
Jan. 24, 2015
Dec. 11, 2014 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Genesis Venture Capital Cor... |
Jan. 16, 2016
Dec. 1, 2015 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Netflix, Inc. Securit... |
Sep. 7, 2013
Aug. 20, 2013 |
|
Securities
Derivative Suit
Verdict:
-$1
|
-$1
Dismissal |
Lawrence Zucker v. Marc L. ... |
Jul. 28, 2012
Jun. 22, 2012 |
|
Securities
Breach of Promissory Note
Verdict:
$469,954
|
$469,954
|
Lehman Brothers Holdings In... |
Jul. 21, 2012
Jun. 21, 2012 |
|
Securities
Fraud
Verdict:
$58,183
|
$58,183
|
James H. Donell, Receiver f... |
Jan. 3, 2015
Apr. 29, 2014 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Fred Hetzel v. Alpha Omega ... |
Feb. 14, 2015
Apr. 7, 2014 |
|
Securities
Breach of Contract
Verdict:
$346,241
|
$346,241
|
Richard Justin Lumelleau v.... |
Aug. 17, 2013
Aug. 2, 2013 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Equitable Settlement |
Wells Fargo Advisors Financ... |
Jan. 29, 2011
Dec. 29, 2010 |
|
Securities
Securities Fraud
Verdict:
$145,000,000
|
$145,000,000
|
In re Apollo Group Inc. Sec... |
Jun. 9, 2012
Apr. 25, 2012 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Louis Saadeh, individually ... |
Dec. 20, 2014
May 21, 2014 |