57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$3,800,000
|
$3,800,000
|
In the Matter of SAP SE |
Feb. 20, 2016
Feb. 1, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$15,250,000
|
$15,250,000
|
Thomas McKenna, individuall... |
Jun. 29, 2013
May 23, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$195,000
|
$195,000
|
David Guerra, Individually ... |
Nov. 26, 2016
Oct. 24, 2016 |
|
|
Securities
Fraud
Verdict:
$7,500,000
|
$7,500,000
|
People of the State of Cali... |
Nov. 29, 2008
Sep. 2, 2008 |
|
|
Securities
Securities Exchange Act
Verdict:
$70,000,000
|
$70,000,000
|
William H. Alsup | SEB Investment Management A... |
Oct. 29, 2021
Oct. 7, 2021 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Donald N. Tolin | Linda Manderino, in her Cap... |
Jan. 18, 2019
Sep. 14, 2018 |
|
Securities
Securities Exchange Act |
Dismissal | Beth L. Freeman | Gregory A. Hurst, individua... |
Dec. 30, 2022
Oct. 18, 2021 |
|
Securities
Breach of Duty
Verdict:
$1,545,000
|
$1,545,000
|
First AFG Financial v. Prio... |
May 15, 2010
Jul. 8, 2009 |
|
|
Securities
Securities Fraud
Verdict:
$3,768,330
|
$3,768,330
|
Robert Stanger v. China Ele... |
Jun. 22, 2013
Jun. 3, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$156,250
|
$156,250
|
Patricia Castro and Alvaro ... |
Aug. 11, 2012
Jul. 13, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$778,333
|
$778,333
|
Dan Katz, individually and ... |
Aug. 3, 2013
Jul. 12, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Alex Binai v. Royal Allianc... |
Aug. 3, 2013
Jul. 23, 2013 |
|
|
Securities
Expungement |
Expungement | Jimmy J. Suh v. Merrill Lyn... |
May 31, 2019
Apr. 17, 2019 |
|
|
Securities
|
Claimant | Al Zvinakis as Holder of FP... |
Jan. 3, 2020
Oct. 18, 2019 |
|
|
Securities
Breach of Contract
Verdict:
$296,981
|
$296,981
|
UBS Financial Services Inc.... |
Jul. 23, 2011
May 27, 2011 |
|
|
Securities
Expungement |
Expungement | Ralph L. Halpern | Marc Alan Johnson v. Wells ... |
Mar. 8, 2019
Dec. 14, 2018 |
|
Securities
Securities Fraud
Verdict:
$7,000,000
|
$7,000,000
|
Beth L. Freeman | In re Extreme Networks Inc.... |
Apr. 5, 2019
Nov. 30, 2018 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Eliseo Alatorre v. Unionban... |
Apr. 6, 2013
Mar. 21, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$33,750,000
|
$33,750,000
|
Jan Buettgen v. Katherine J... |
Jul. 20, 2013
Jul. 2, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$581,094
|
$581,094
|
Morgan Stanley Smith Barney... |
Dec. 10, 2016
Oct. 26, 2016 |
|
|
Securities
Suitability
Verdict:
$17,680
|
$17,680
|
Stephen Picarello on behalf... |
May 25, 2013
May 8, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Bryan Silagy v. Woodbury Fi... |
Dec. 16, 2006
Aug. 11, 2006 |
|
|
Securities
Breach of Promissory Note
Verdict:
$75,000
|
$75,000
|
Ameriprise Financial Servic... |
Apr. 6, 2013
Mar. 18, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Frank Meyers, individually;... |
Jan. 11, 2019
Oct. 4, 2018 |
|
Securities
Securities Fraud
Verdict:
$5,498,941
|
$5,498,941
|
John W. Holcomb | Securities and Exchange Com... |
Jun. 18, 2021
May 20, 2021 |
|
Securities
Breach of Promissory Note
Verdict:
$991,728
|
$991,728
|
Wells Fargo Investments LLC... |
Jun. 22, 2013
Mar. 19, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
$8,500,000
|
$8,500,000
|
Robert Curry v. Hansen Medi... |
Aug. 10, 2013
Jul. 25, 2013 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Cyrus Tabaz v. J.P. Morgan ... |
Nov. 28, 2015
Nov. 3, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
K&M Dattani Irrevocable Tru... |
Apr. 6, 2013
Mar. 22, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Richard Klein v. Charies Sc... |
Apr. 6, 2013
Mar. 20, 2013 |