57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Mark Lee Manoogian v. Wells... |
Nov. 8, 2014
Oct. 15, 2014 |
|
|
Securities
Expungement |
Expungement Denied | Edward Blumstein | Victoria Lynn Mueller v. Ch... |
Feb. 2, 2018
Nov. 21, 2017 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Vince Bonato v. Yahoo! Inc.... |
Sep. 1, 2012
Aug. 14, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Bradford Smith v. UBS Finan... |
Apr. 1, 2017
Jan. 23, 2017 |
|
|
Securities
NASD
Verdict:
$51,446
|
$51,446
|
John J. George | Kelli Jones v. Salomon Smit... |
Dec. 23, 2006
May 2, 2006 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Bricklayers and Trowel Trad... |
Feb. 11, 2012
Jan. 13, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Permanent Injunction Granted |
Securities and Exchange Com... |
May 17, 2014
Oct. 1, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
James P. McGarry, Amethyst ... |
Jan. 26, 2013
Jan. 8, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
-$1
|
-$1
$925,200 on Counter-Claim |
Wells Fargo Advisors LLC v.... |
Mar. 29, 2014
Feb. 24, 2014 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Jeffrey Colflesh, et al. v.... |
Aug. 4, 2012
Jun. 28, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Equitable Settlement |
Damien Moore v. Charles Sch... |
May 26, 2012
Apr. 17, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
The Atle Fjeld and Kirsten ... |
Dec. 31, 2016
Nov. 3, 2016 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ronald L. Gershon | Patrick J. Schachle v. Merr... |
Dec. 9, 2006
Aug. 15, 2006 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Steven Badeau; Geneva BCCX ... |
May 26, 2012
Apr. 9, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent |
Leprino Foods Co. v. BNY Me... |
Nov. 3, 2012
Oct. 9, 2012 |
|
|
Securities
Securities Fraud |
Respondent | Peter D. Steinbroner | William J. Roberts v. TD Am... |
Feb. 2, 2018
Dec. 1, 2017 |
|
Securities
Professional Malpractice
Verdict:
$0
|
$0
|
Kenan Oldham | Joyce Kossack, Trustee-the ... |
Jun. 27, 1998
Mar. 25, 1998 |
|
Securities
Securities Fraud
Verdict:
$750,000
|
$750,000
|
Securities and Exchange Com... |
Mar. 21, 2015
Mar. 2, 2015 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Mark Robert Fasano, John Ed... |
Mar. 22, 2014
Mar. 6, 2014 |
|
|
Securities
Fraud
Verdict:
$47,449
|
$47,449
|
Chris Vovos v. The Boston G... |
Jun. 27, 1998
May 14, 1998 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
For Respondent |
The William Dale Kelly and ... |
Jun. 23, 2012
Sep. 29, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$542,121
|
$542,121
|
Josephine L. Staton | Securities and Exchange Com... |
Jan. 17, 2025
Sep. 12, 2024 |
|
Securities
Employment |
Expungement | Brian J. Gallagher | Paul Scott Selvin v. Merril... |
Jan. 12, 2018
Aug. 17, 2017 |
|
Securities
Securities Exchange Act |
Defense | Edward M. Chen | Ronald Sgarlata, individual... |
Feb. 8, 2019
Dec. 13, 2018 |
|
Securities
Securities Fraud
Verdict:
$2,127,851
|
$2,127,851
|
Stephen V. Wilson | Securities and Exchange Com... |
Dec. 31, 2020
Oct. 26, 2020 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Clara M. Hickle v. Wells Fa... |
Jan. 19, 2013
Dec. 31, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
Kayla Ann Roderick Trust, O... |
Mar. 31, 2012
Jan. 20, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Fred McKay, as Trustee for ... |
Mar. 21, 2015
Feb. 24, 2015 |
|
|
Securities
Breach of Contract
Verdict:
$3,262,300
|
$3,262,300
|
Stephen A. Whittington, et ... |
Jan. 24, 2009
Nov. 3, 2008 |
|
|
Securities
Breach of Contract
Verdict:
$254,700
|
$254,700
|
Carol Marini v. Marcelle Lo... |
Aug. 4, 2012
Jun. 25, 2012 |