57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Claimant | Neil S. Jasper | Jennifer Lynne Turner v. LP... |
Dec. 13, 2019
Oct. 22, 2019 |
|
Securities
Breach of Contract
Verdict:
$62,073
|
$62,073
|
Merrill Lynch, Pierce, Fenn... |
Mar. 9, 2013
Feb. 12, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Thomas A. Seaman, in his ca... |
Feb. 14, 2015
Apr. 28, 2014 |
|
|
Securities
Fraud
Verdict:
$150,000
|
$150,000
|
Securities and Exchange Com... |
Dec. 10, 2011
Nov. 22, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$577,000
|
$577,000
|
Securities and Exchange Com... |
Sep. 24, 2016
Sep. 1, 2016 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Defense |
Munjal Mehta, individually ... |
Oct. 25, 2014
Jun. 19, 2014 |
|
|
Securities
Verdict:
$1,500,000
|
$1,500,000
|
Thomas S. Hixson | United States of America v.... |
Apr. 1, 2022
Mar. 3, 2022 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Robert F. Saint-Aubin | Marcia Berger, individually... |
Dec. 21, 2018
Oct. 12, 2018 |
|
Securities
Expungement |
Expungement | Philip A. Tymon | John W. Kettmann v. Morgan ... |
Mar. 1, 2019
Dec. 24, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Letitia McKee Cooper, Coope... |
Feb. 4, 2017
Nov. 15, 2016 |
|
|
Securities
Fraud
Verdict:
$512,000
|
$512,000
|
Leonard Becker and Nancy Be... |
May 19, 2007
Jan. 17, 2007 |
|
|
Securities
Violations of Exchange Act
Verdict:
$2,500,000
|
$2,500,000
|
Securities and Exchange Com... |
Nov. 5, 2011
Aug. 5, 2011 |
|
|
Securities
Expungement |
Expungement Denied | Herbert Liberman | Scott Daniel Hood v. Merril... |
Mar. 1, 2019
Dec. 18, 2018 |
|
Securities
Expungement |
Expungement | Joyce L. Hurley | Jeffery M. Sorensen v. Tran... |
May 17, 2019
Apr. 1, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Paul J. McDonough, Ellen Mc... |
Apr. 7, 2012
Mar. 12, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Sandra L. Liebhaber v. Roya... |
Oct. 25, 2014
Sep. 10, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Marvin Antonowsky, Antonows... |
Jun. 30, 2012
Jun. 4, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$135,000
|
$135,000
|
Shirley Edwards v. R.W. Tow... |
Oct. 6, 2012
Aug. 4, 2012 |
|
|
Securities
Fraud |
Expungement | Christopher M. McMurray | Harold B. Garner Jr., Shirl... |
Aug. 25, 2017
Jul. 21, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Felyce Thomas v. James B. C... |
Nov. 28, 2015
Oct. 29, 2015 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Thomas E. Shuck | Paul Michel v. E-Trade Secu... |
Sep. 1, 2017
Jun. 7, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Richard Norman | Simco Company v. E-Trade Se... |
Sep. 1, 2017
Jun. 23, 2017 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Georgia Alexander v. Citigr... |
Dec. 14, 2013
Apr. 10, 2013 |
|
|
Securities
Securities Exchange Act |
Defense | Philip S. Gutierrez | Terrence Peters, Individua... |
Dec. 9, 2022
Jul. 13, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$50,000
|
$50,000
|
Angela C. Kamahi, Isaac Kam... |
Mar. 12, 2011
Feb. 9, 2011 |
|
|
Securities
Securities Exchange Act |
Dismissal | Vince G. Chhabria | Jeffrey Toole, Individually... |
Feb. 3, 2023
Oct. 20, 2022 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Madhok Family Trust dated 1... |
Dec. 3, 2011
Nov. 10, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Irvine Jay Welch III v. Dwa... |
Jan. 12, 2013
Dec. 20, 2012 |
|
|
Securities
Securities Fraud |
Expungement | Robert A. Resnick, Wai-Pang... |
Apr. 10, 2020
Feb. 19, 2020 |
|
|
Securities
Expungement |
Claimant | Kenneth Ancell v. Commonwea... |
Feb. 7, 2020
Nov. 4, 2019 |