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57927 Rulings

Topic Case Name Published / Result

Securities

Securities
Expungement
Alvin Sanders v. Ameriprise... Feb. 16, 2018
    Dec. 6, 2017
Securities
Securities Fraud
Verdict: -$1
Georgia Alexander v. Citigr... Dec. 14, 2013
    Apr. 10, 2013
Securities
Breach of Contract
Justin Williams v. J.P. Mor... Apr. 12, 2019
    Feb. 20, 2019
Securities
Securities Fraud
Verdict: -$1
Aslam Ahmed, Ayfer Ahmed v.... Feb. 4, 2012
    Jan. 11, 2012
Securities
Breach of Fiduciary Duty
Verdict: $210,641
Vallone Family 1985 Trust, ... Jan. 15, 2011
    Dec. 16, 2010
Securities
Expungement
Breanne Polonia fka Breanne... Jan. 25, 2019
    Dec. 4, 2018
Securities
Breach of Fiduciary Duty
Verdict: $27,015
Samantha Skorija v. VSR Fin... Aug. 25, 2017
    Jul. 12, 2017
Securities
Breach of Fiduciary Duty
Verdict: -$1
Robert J. Bridge v. Merrill... Dec. 31, 2010
    Dec. 2, 2010
Securities
Fraud
Verdict: -$1
Ronald W. May, Kathryn R. C... Jan. 3, 2009
    Nov. 20, 2008
Securities
NASD
Verdict: -$1
Mark Alloy v. McLaughlin, P... Dec. 2, 2006
    Sep. 13, 2006
Securities
Violations of Exchange Act
Verdict: -$1
In Re: Crocs Inc. Securitie... Apr. 30, 2011
    Feb. 28, 2011
Securities
Securities Fraud
Verdict: $17,400,000
People of the State of Cali... Apr. 5, 2014
    Feb. 25, 2014
Securities
Securities Exchange Act
Verdict: $2,400,000
Mohammed Usman Ali, individ... May 10, 2024
    May 24, 2023
Securities
Securities Fraud
Verdict: -$1
In re Resonant Inc. Securit... Sep. 17, 2016
    Jul. 11, 2016
Securities
Securities Exchange Act
Verdict: -$1
Securities and Exchange Com... Dec. 19, 2015
    Nov. 3, 2015
Securities
Negligence
Verdict: -$1
Linden Pasadena Properties,... Dec. 31, 2010
    Dec. 2, 2010
Securities
Breach of Fiduciary Duty
Verdict: -$1
Glen D. Robertson, Susan L.... Mar. 12, 2011
    Feb. 17, 2011
Securities
Securities Fraud
Verdict: $30,000,000
In re: Splunk Inc. Securiti... Sep. 22, 2023
    Feb. 7, 2023
Securities
Expungement
Donald Bradford Crane v. Ce... Apr. 10, 2020
    Feb. 28, 2020
Securities
Fraud
Verdict: -$1
David L. Schriger, co-trust... Apr. 10, 2010
    Mar. 5, 2010
Securities
Securities Fraud
Verdict: $16,787,028
Federal Trade Commission v.... Jul. 25, 2025
    May 6, 2025
Securities
Breach of Fiduciary Duty
Verdict: -$1
Irvine Jay Welch III v. Dwa... Jan. 12, 2013
    Dec. 20, 2012
Securities
Commodities
Verdict: $37,000,000
In re Tronox Inc. Securitie... Oct. 20, 2012
    Aug. 29, 2012
Securities
Breach of Promissory Note
Verdict: $124,136
Wachovia Securities LLC v. ... Jan. 8, 2011
    Dec. 2, 2010
Securities
Securities Fraud
Verdict: -$1
Royal Park Investments SA/N... Aug. 9, 2014
    Jul. 14, 2014
Securities
Breach of Fiduciary Duty
Verdict: $350,000
Frank Griswold v. Burch & C... Oct. 1, 2011
    Aug. 25, 2011
Securities
Fraud
Verdict: -$1
Securities and Exchange Com... Mar. 19, 2011
    Feb. 15, 2011
Securities
Violation of the Securities Act
Verdict: $2,700,000
Jeff Feyko, individually an... May 10, 2014
    Mar. 7, 2014
Securities
FINRA Rules
James Edward Chiate v. Merr... Feb. 9, 2018
    Nov. 22, 2017
Securities
Securities Fraud
Verdict: $240,000,000
In Re Wells Fargo & Company... Jun. 28, 2019
    May 14, 2019