57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Exchange Act
Verdict:
$1,250,000
|
$1,250,000
|
Maritime Asset Management, ... |
Aug. 2, 2014
Jun. 7, 2014 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Michael Scott Barker v. Mor... |
Jan. 10, 2015
Jul. 11, 2014 |
|
|
Securities
Tort
Verdict:
$0
|
$0
|
William F. Highberger | Robert Solomon v. U.S. Trus... |
Apr. 8, 2003
Oct. 25, 2002 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$187,625 in compensatory damages, $63,000 in pre-judgment interest, and $40,000 in attorney fees. |
Todd D. Simon v. Oppenheime... |
Jun. 9, 2012
Sep. 7, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$129,600,000
|
$129,600,000
|
National Credit Union Admin... |
Oct. 31, 2015
Sep. 15, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$33,000,000
|
$33,000,000
|
S. James Otero | Securities and Exchange Com... |
Dec. 28, 2018
Aug. 2, 2018 |
|
Securities
Expungement |
Expungement | Robert D. Sussin | Allen Frances Schreiber v. ... |
Jan. 11, 2019
Nov. 6, 2018 |
|
Securities
Securities Exchange Act |
Defense | Phyllis J. Hamilton | Reena Saintjermain, individ... |
Nov. 18, 2022
Feb. 14, 2022 |
|
Securities
Securities Fraud |
Dismissal | Maxine M. Chesney | In re Wells Fargo & Company... |
Mar. 4, 2022
Feb. 7, 2022 |
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Denial |
Bobby Karim Panahi v. UBS F... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,333,930
|
$1,333,930
|
Hooman Moshar and May Mosha... |
Jan. 26, 2013
Jan. 9, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
George Sardeson, Florence T... |
Dec. 30, 2006
Apr. 21, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$202,300 (plus interest) |
Barbara J. Wammer, individu... |
Sep. 11, 2010
Aug. 12, 2010 |
|
|
Securities
Fraud
Verdict:
$872,000
|
$872,000
|
Securities and Exchange Com... |
Dec. 29, 2007
Sep. 12, 2007 |
|
|
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
Securities Fraud |
Dismissal | Lucy H. Koh | Roger A. Ikeda, Individuall... |
Feb. 4, 2022
May 6, 2021 |
|
Securities
Breach of Contract
Verdict:
$385,000
|
$385,000
|
Paul E. Dahlman | Philip Harper and Amanda Ha... |
Mar. 1, 2019
Jan. 3, 2019 |
|
Securities
Securities Fraud
Verdict:
$750,000
|
$750,000
|
Securities and Exchange Com... |
Mar. 21, 2015
Mar. 2, 2015 |
|
|
Securities
Unfair Competition
Verdict:
-$1
|
-$1
Respondent |
Wells Fargo Advisors LLC v.... |
May 4, 2013
Apr. 18, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$90,474
|
$90,474
|
Charles Schwab & Co., Inc. ... |
Apr. 14, 2007
Jul. 28, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,726,880
|
$1,726,880
|
Thomas Brookhouzen, Hugh Da... |
Jul. 3, 2010
May 27, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Fred McKay, as Trustee for ... |
Mar. 21, 2015
Feb. 24, 2015 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | John R. Winans v. Centaurus... |
Mar. 20, 2020
Nov. 29, 2019 |
|
|
Securities
Fraud
Verdict:
$2,600,000
|
$2,600,000
|
Bruce Belodoff v. Netlist I... |
Nov. 27, 2010
Nov. 18, 2009 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
DeVonna K. Murrin v. Charle... |
Mar. 21, 2015
Feb. 26, 2015 |
|
|
Securities
Breach of Contract
Verdict:
$184,391
|
$184,391
|
Dr. Mohamed Ahmed, individu... |
Mar. 28, 2015
Feb. 28, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Susan C. Dumas v. E*Trade S... |
Jul. 26, 2014
Jun. 27, 2014 |
|
|
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
Dismissal |
Georgia Alexander v. Citigr... |
Dec. 14, 2013
Apr. 10, 2013 |
|
|
Securities
Fraud
Verdict:
$4,023,950
|
$4,023,950
|
U.S. Securities and Exchang... |
Nov. 1, 2008
Jan. 29, 2008 |