57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Fraud and Gross Negligence |
Respondent | Peter H. Daly | E. Thomas Clark Jr., aka El... |
Nov. 10, 2017
Sep. 11, 2017 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Steven Badeau; Geneva BCCX ... |
May 26, 2012
Apr. 9, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Sefferino Guerrera, Sefferi... |
Feb. 11, 2017
Nov. 16, 2016 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Equitable Settlement |
Damien Moore v. Charles Sch... |
May 26, 2012
Apr. 17, 2012 |
|
|
Securities
Expungement |
Expungement | Robert D. Sussin | Aaron Douglas Maurer v. RP ... |
Mar. 22, 2019
Dec. 22, 2018 |
|
Securities
Securities Fraud
Verdict:
$15,250,000
|
$15,250,000
|
Thomas McKenna, individuall... |
Jun. 29, 2013
May 23, 2013 |
|
|
Securities
Stocks
Verdict:
$10,850,000
|
$10,850,000
|
Stuart J. Steele, et al. v.... |
Jan. 14, 2012
Dec. 21, 2011 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert Rosen | Jason Hallmark v. John Davi... |
Aug. 25, 2017
Jul. 14, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Bradford Smith v. UBS Finan... |
Apr. 1, 2017
Jan. 23, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$135,000,000
|
$135,000,000
|
The Commissioner of Financi... |
Jul. 25, 2025
Apr. 24, 2025 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kurt Bochner, individually ... |
Oct. 1, 2011
Jul. 20, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$7,924,240
|
$7,924,240
|
Securities and Exchange Com... |
May 25, 2013
Apr. 26, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Brannan Paul Vaughan v. Mor... |
Jul. 6, 2013
Jun. 13, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Vince Bonato v. Yahoo! Inc.... |
Sep. 1, 2012
Aug. 14, 2012 |
|
|
Securities
Stocks
Verdict:
$1,750,000
|
$1,750,000
|
Securities and Exchange Com... |
Dec. 8, 2012
Oct. 26, 2012 |
|
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Virginia A. Phillips | Gilberto Ferreira, individu... |
Oct. 7, 2022
Jul. 22, 2022 |
|
Securities
Securities Exchange Act |
Defense | Lucy H. Koh | Jacob McGovney, et al. v. A... |
Mar. 22, 2019
Feb. 5, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$54,105,600
|
$54,105,600
|
Gerald D. Hosier, individua... |
Jun. 25, 2011
Apr. 18, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$100,000
|
$100,000
|
Maurice Fakhoury, Martha Fa... |
Feb. 4, 2017
Nov. 21, 2016 |
|
|
Securities
Negligence
Verdict:
$25,000
|
$25,000
|
Steve R. Fraser v. Wachovia... |
Mar. 12, 2011
Feb. 11, 2011 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Counterclaim Denied |
U.S. Bancorp Investments In... |
Oct. 30, 2014
Oct. 7, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Oracle Corporation Se... |
Jan. 23, 2010
Jun. 16, 2009 |
|
|
Securities
Fraud
Verdict:
$1,800,000
|
$1,800,000
|
In re Rentech Securities Li... |
May 7, 2011
Mar. 23, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Arnold Kreek, individually ... |
Apr. 23, 2011
Jan. 14, 2011 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. v. Cha... |
Dec. 8, 2012
Nov. 8, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles W. Ott, as Trustee ... |
May 7, 2011
Mar. 31, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$177,792
|
$177,792
|
Karen E. Rey v. Wedbush Sec... |
May 7, 2011
Mar. 25, 2011 |
|
|
Securities
Violations of Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
Roger Wheeler and Paul Whee... |
Jun. 25, 2011
Mar. 25, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Patricia Tynan Chapman, ind... |
Dec. 31, 2010
Nov. 29, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Timothy Tutko v. Wendy Adai... |
Jan. 12, 2013
Dec. 20, 2012 |