57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud |
Respondent | John Rossum v. Bradley Ever... |
Mar. 20, 2020
Dec. 30, 2019 |
|
|
Securities
Misrepresentation
Verdict:
$120,000
|
$120,000
|
Robert M. Levy | Confidential |
May 4, 1996
Mar. 21, 1996 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Vahe Ohanessian, Michael Mo... |
Jan. 8, 2011
Dec. 15, 2010 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Ernest C. Coneen, The Conee... |
Jul. 4, 2014
Jan. 29, 2014 |
|
|
Securities
Securities Exchange Act |
Defense | Mark C. Scarsi | William Baker, Jill Sligay,... |
Jun. 7, 2024
Mar. 5, 2024 |
|
Securities
Securities Exchange Act
Verdict:
$49,965
|
$49,965
|
Jesus G. Bernal | Securities and Exchange Com... |
Oct. 30, 2020
Sep. 3, 2020 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$2,157,243
|
$2,157,243
|
Janice L. Sperow | Donna Gambee v. David Lloyd... |
Feb. 2, 2018
Jan. 5, 2018 |
|
Securities
Breach of Contract
Verdict:
$1,377,010
|
$1,377,010
|
Bobby L. Hayes, Bobby L. Ha... |
Feb. 25, 2012
Jan. 31, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Bryan Silagy v. Woodbury Fi... |
Dec. 16, 2006
Aug. 11, 2006 |
|
|
Securities
Breach of Promissory Note
Verdict:
$323,353
|
$323,353
|
Herbert A. Schwartz | Morgan Stanley Smith Barney... |
Oct. 6, 2017
Aug. 7, 2017 |
|
Securities
Violation of the Securities Act
Verdict:
-$1
|
-$1
Defense |
U.S Securities and Exchange... |
Jan. 4, 2014
Dec. 10, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,588,900
|
$1,588,900
|
Edward A. Blank, Doreen Bak... |
Mar. 22, 2014
Mar. 4, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Yvonne D. Kloehn v. Wells F... |
Aug. 24, 2013
Aug. 12, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$577,000
|
$577,000
|
Securities and Exchange Com... |
Sep. 24, 2016
Sep. 1, 2016 |
|
|
Securities
Securities Exchange Act
Verdict:
$13,000,000
|
$13,000,000
|
Beth L. Freeman | In re: Precigen Inc. Securi... |
Jan. 5, 2024
Jul. 7, 2023 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$18,442
|
$18,442
|
Jordan H. Moffet, Margot A.... |
Nov. 27, 2010
Nov. 9, 2010 |
|
|
Securities
Negligence
Verdict:
$309,750
|
$309,750
|
Paul Azarian, Loreta Azaria... |
Apr. 12, 2014
Mar. 21, 2014 |
|
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Denial |
Bobby Karim Panahi v. UBS F... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$706,733
|
$706,733
|
Securities And Exchange Com... |
Apr. 30, 2016
Apr. 7, 2016 |
|
|
Securities
Violation of the Securities Act
Verdict:
$5,000,000
|
$5,000,000
|
Panther Partners Inc. v. Ik... |
Apr. 27, 2013
Mar. 25, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Paul Stiehl and Patricia St... |
Mar. 28, 2015
Feb. 12, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,375,000
|
$1,375,000
|
Beth L. Freeman | In re: Dropbox Inc. Securit... |
Mar. 3, 2023
Dec. 8, 2021 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Donald Stunkart v. Edward J... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Yucaipa American Alliance F... |
Feb. 5, 2011
Aug. 12, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$16,500,000
|
$16,500,000
|
In re Apple Inc. Securities... |
Jan. 22, 2011
Nov. 22, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Thomas A. Seaman, in his ca... |
Feb. 14, 2015
Apr. 28, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Michael L. Kennedy 1998 Tru... |
May 28, 2016
Mar. 16, 2016 |
|
|
Securities
Violation of the Securities Act
Verdict:
$2,700,000
|
$2,700,000
|
Jeff Feyko, individually an... |
May 10, 2014
Mar. 7, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
Church Resource Ministries ... |
Apr. 2, 2011
Feb. 18, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
Maxine M. Chesney | Ajay Malhotra, individually... |
Dec. 31, 2020
Nov. 6, 2020 |
