57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Judy Durgin, Derivatively o... |
Feb. 11, 2017
Jan. 10, 2017 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Rick Cooper v. Richard Anth... |
Jun. 21, 2014
Jun. 4, 2014 |
|
|
Securities
Verdict:
$7,300,000
|
$7,300,000
|
Barbara A. Meiers | Chanh Huynh, Michael Smith ... |
May 22, 2020
Nov. 6, 2019 |
|
Securities
Expungement |
Expungement | Philip A. Tymon | Sonny Hamesh Gulati v. UBS ... |
Feb. 1, 2019
Dec. 3, 2018 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Donald Adams, Suvawinds Inc... |
Feb. 11, 2017
Dec. 5, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,651,000
|
$1,651,000
|
Artek Media International I... |
Jun. 4, 2016
Jan. 29, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Eugene Canino, Elizabeth Ca... |
May 28, 2016
Mar. 21, 2016 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Respondent |
Fred S. Beaton and Fred S. ... |
Aug. 17, 2013
Aug. 2, 2013 |
|
|
Securities
Securities Exchange Act |
Dismissal | Maxine M. Chesney | In re: Cloudera Inc. Securi... |
Jan. 13, 2023
Oct. 20, 2022 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Sheldon Bloch, Jacki Conoll... |
Apr. 13, 2013
Mar. 28, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissed with prejudice |
Alvin M. Kramer, TTEE, Susa... |
Jan. 17, 2009
Dec. 11, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$89,389 (attorneys fees) |
Kent E. Wilson, D.D.S., et ... |
Jun. 21, 2008
May 7, 2008 |
|
|
Securities
Breach of Contract
Verdict:
$1,000,000
|
$1,000,000
|
Larry Greg Fullmer v. Goldm... |
Dec. 6, 2008
Oct. 3, 2008 |
|
|
Securities
Breach of Contract
Verdict:
$8,011,530
|
$8,011,530
|
Amit Gupta v. Morgan Stanle... |
Sep. 21, 2013
Aug. 29, 2013 |
|
|
Securities
Expungement |
Expungement | Dean J. Dietrich | Michael Anthony Destro v. W... |
Jan. 5, 2018
Nov. 16, 2017 |
|
Securities
Securities Exchange Act |
Defense | Todd W. Robinson | In re: Anaptysbio Inc. Secu... |
Jan. 13, 2023
Nov. 30, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$45,000
|
$45,000
|
Jacqueline Picquelle v. Sco... |
Apr. 2, 2011
Mar. 15, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
Maxine M. Chesney | Ajay Malhotra, individually... |
Dec. 31, 2020
Nov. 6, 2020 |
|
Securities
Fraud
Verdict:
$726,000
|
$726,000
|
Michael L. Stern | Linda Wang v. Charles Xue |
Sep. 3, 2005
Apr. 6, 2005 |
|
Securities
Securities Exchange Act |
Dismissal | Anthony J. Battaglia | In re: Sorrento Therapeutic... |
Jan. 20, 2023
Jun. 3, 2022 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Randall B. Christison | Barbara Freeman v. J.P. Mor... |
Feb. 1, 2019
Dec. 4, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$11,558,100
|
$11,558,100
|
Larry Hagman, individually;... |
Oct. 30, 2010
Oct. 11, 2010 |
|
|
Securities
Expungement |
Claimant | David Anthony Pickler v. UB... |
Feb. 14, 2020
Dec. 6, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,137,920
|
$1,137,920
|
Karen Lamoreaux, Karen Lamo... |
Apr. 13, 2013
Mar. 27, 2013 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Dismissal |
Western and Southern Life I... |
Sep. 1, 2012
Jun. 29, 2012 |
|
|
Securities
Breach of Fiduciary Duty |
Dismissal | Robert E. Jenks Jr. | Mario Frank Voce, Julia Voc... |
Mar. 22, 2019
Jan. 28, 2019 |
|
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
Securities Fraud
Verdict:
$7,500,000
|
$7,500,000
|
Thomas E. Kuhnle | In re Mobileiron Inc., Shar... |
Jun. 30, 2017
Sep. 6, 2017 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Massachusetts Mutual Life I... |
Sep. 1, 2012
Apr. 16, 2012 |
|
|
Securities
Negligence
Verdict:
$813,475
|
$813,475
|
Mary Tiscornia, Jennifer Ti... |
Nov. 28, 2015
Nov. 4, 2015 |
