57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Joseph Curry, individually ... |
May 16, 2015
Apr. 21, 2015 |
|
|
Securities
Employment
Verdict:
$9,265
|
$9,265
|
Dwayne Mark Peltier v. UBS ... |
Nov. 30, 2013
Nov. 8, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Pension Trust Fund for Oper... |
Nov. 9, 2013
Sep. 25, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$5,500,000
|
$5,500,000
|
James Rafton, Trustee of th... |
Dec. 3, 2011
Nov. 10, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$10,871
|
$10,871
|
Alice M. Potter v. Ameritas... |
Jun. 9, 2012
May 11, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$143,400
|
$143,400
|
Zvi Streit, The Streit Livi... |
Jun. 16, 2012
May 15, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
For Respondent |
The William Dale Kelly and ... |
Jun. 23, 2012
Sep. 29, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Karl Austin Pettijohn v. UB... |
Nov. 12, 2016
Oct. 7, 2016 |
|
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Jason Kenneth Diaz v. Golde... |
Mar. 6, 2020
Jan. 17, 2020 |
|
Securities
Broker Negligence
Verdict:
$0
|
$0
|
William Fieldman | Confidential |
Dec. 14, 1996
Nov. 1, 1996 |
|
Securities
Violation of the Securities Act
Verdict:
$1,700,000
|
$1,700,000
|
Securities and Exchange Com... |
Jun. 29, 2013
Jun. 7, 2013 |
|
|
Securities
NASD
Verdict:
$272,624
|
$272,624
|
Abel C. Crespo and Eva A. C... |
Dec. 16, 2006
May 9, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Arlene Spitzer v. Morgan St... |
Dec. 23, 2006
May 15, 2006 |
|
|
Securities
NASD
Verdict:
$9,500
|
$9,500
|
Wells Fargo Investments, LL... |
Dec. 2, 2006
May 1, 2006 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Julienne Ambrose v. Citigro... |
Feb. 11, 2017
Dec. 13, 2016 |
|
|
Securities
Commodities
Verdict:
$3,000,000
|
$3,000,000
|
Securities and Exchange Com... |
Apr. 30, 2011
Mar. 22, 2011 |
|
|
Securities
Violations of Exchange Act
Verdict:
$8,500,000
|
$8,500,000
|
Robert Curry v. Hansen Medi... |
Aug. 10, 2013
Jul. 25, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Alex Binai v. Royal Allianc... |
Aug. 3, 2013
Jul. 23, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$12,750,000
|
$12,750,000
|
Marilyn L. Huff | Kevin Kendall, Individually... |
Dec. 23, 2021
Dec. 3, 2021 |
|
Securities
Negligence
Verdict:
$6,932
|
$6,932
|
Steven A. Brick | Persall v. Northwestern |
Jan. 18, 1997
Oct. 1, 1996 |
|
Securities
Securities Fraud |
Respondent | John Rossum v. Bradley Ever... |
Mar. 20, 2020
Dec. 30, 2019 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Bradley Evan Berdow, Christ... |
Sep. 13, 2014
Aug. 26, 2014 |
|
|
Securities
Expungement |
Expungement | Matt Ward v. Euro Pacific C... |
May 24, 2019
Apr. 16, 2019 |
|
|
Securities
Fraud
Verdict:
$690,000
|
$690,000
|
David A. Thompson | Roland Graves, Hermann Hege... |
Nov. 19, 2005
Feb. 4, 2005 |
|
Securities
Expungement |
Expungement | Ronald Louis Valpey v. Merr... |
May 24, 2019
Apr. 11, 2019 |
|
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Ronald Mark Daly v. Piper J... |
Dec. 15, 2017
Nov. 6, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
In Re: Diamond Foods Inc. D... |
Jun. 16, 2012
May 29, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$240,000,000
|
$240,000,000
|
Jon S. Tigar | In Re Wells Fargo & Company... |
Jun. 28, 2019
May 14, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$150,000
|
$150,000
|
Confidential |
Jan. 1, 2001
Dec. 15, 2000 |
|
|
Securities
Fraud
Verdict:
$0
|
$0
|
Paul H. Alvarado | Kennilworth Partners v. Cri... |
Nov. 15, 2001
Oct. 10, 2001 |