57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Herbert Liberman | Alvin Sanders v. Ameriprise... |
Feb. 16, 2018
Dec. 6, 2017 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Georgia Alexander v. Citigr... |
Dec. 14, 2013
Apr. 10, 2013 |
|
|
Securities
Breach of Contract |
Dismissal | Robert E. Jenks Jr. | Justin Williams v. J.P. Mor... |
Apr. 12, 2019
Feb. 20, 2019 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Aslam Ahmed, Ayfer Ahmed v.... |
Feb. 4, 2012
Jan. 11, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$210,641
|
$210,641
|
Vallone Family 1985 Trust, ... |
Jan. 15, 2011
Dec. 16, 2010 |
|
|
Securities
Expungement |
Expungement | Kevin K. Forrester | Breanne Polonia fka Breanne... |
Jan. 25, 2019
Dec. 4, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$27,015
|
$27,015
|
Lynn H. Brahin | Samantha Skorija v. VSR Fin... |
Aug. 25, 2017
Jul. 12, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$32,247 compensatory, $30,000 attorney fees, $6,000 expert witness fees, and $14,400 FINRA hearing session fees |
Robert J. Bridge v. Merrill... |
Dec. 31, 2010
Dec. 2, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondents liable |
Ronald W. May, Kathryn R. C... |
Jan. 3, 2009
Nov. 20, 2008 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Mark Alloy v. McLaughlin, P... |
Dec. 2, 2006
Sep. 13, 2006 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In Re: Crocs Inc. Securitie... |
Apr. 30, 2011
Feb. 28, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$17,400,000
|
$17,400,000
|
People of the State of Cali... |
Apr. 5, 2014
Feb. 25, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$2,400,000
|
$2,400,000
|
Anthony J. Battaglia | Mohammed Usman Ali, individ... |
May 10, 2024
May 24, 2023 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
In re Resonant Inc. Securit... |
Sep. 17, 2016
Jul. 11, 2016 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Permanent Injunction |
Securities and Exchange Com... |
Dec. 19, 2015
Nov. 3, 2015 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Linden Pasadena Properties,... |
Dec. 31, 2010
Dec. 2, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Glen D. Robertson, Susan L.... |
Mar. 12, 2011
Feb. 17, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$30,000,000
|
$30,000,000
|
Jon S. Tigar | In re: Splunk Inc. Securiti... |
Sep. 22, 2023
Feb. 7, 2023 |
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Donald Bradford Crane v. Ce... |
Apr. 10, 2020
Feb. 28, 2020 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
David L. Schriger, co-trust... |
Apr. 10, 2010
Mar. 5, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$16,787,028
|
$16,787,028
|
Christina A. Snyder | Federal Trade Commission v.... |
Jul. 25, 2025
May 6, 2025 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Irvine Jay Welch III v. Dwa... |
Jan. 12, 2013
Dec. 20, 2012 |
|
|
Securities
Commodities
Verdict:
$37,000,000
|
$37,000,000
|
In re Tronox Inc. Securitie... |
Oct. 20, 2012
Aug. 29, 2012 |
|
|
Securities
Breach of Promissory Note
Verdict:
$124,136
|
$124,136
|
Wachovia Securities LLC v. ... |
Jan. 8, 2011
Dec. 2, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Royal Park Investments SA/N... |
Aug. 9, 2014
Jul. 14, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$350,000
|
$350,000
|
Frank Griswold v. Burch & C... |
Oct. 1, 2011
Aug. 25, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Securities and Exchange Com... |
Mar. 19, 2011
Feb. 15, 2011 |
|
|
Securities
Violation of the Securities Act
Verdict:
$2,700,000
|
$2,700,000
|
Jeff Feyko, individually an... |
May 10, 2014
Mar. 7, 2014 |
|
|
Securities
FINRA Rules |
Expungement | Richard J. Stall Jr. | James Edward Chiate v. Merr... |
Feb. 9, 2018
Nov. 22, 2017 |
|
Securities
Securities Fraud
Verdict:
$240,000,000
|
$240,000,000
|
Jon S. Tigar | In Re Wells Fargo & Company... |
Jun. 28, 2019
May 14, 2019 |
