57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement Denied |
Kenneth R. Hunt; Kenneth R.... |
Jan. 16, 2016
Dec. 29, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Paul A. Heimberg, individua... |
Jan. 16, 2016
Dec. 18, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Genesis Venture Capital Cor... |
Jan. 16, 2016
Dec. 1, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$60,000
|
$60,000
|
Jeanne Van Order v. Securit... |
Jan. 27, 2007
Nov. 10, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Michael R. Smith, Carole Sm... |
Jan. 16, 2016
Sep. 3, 2015 |
|
|
Securities
Negligence
Verdict:
$275,987
|
$275,987
|
Shirley Peltier v. Cullum &... |
Jan. 16, 2016
Nov. 19, 2015 |
|
|
Securities
Securities Exchange Act |
Mixed Verdict | Andrew J. Guilford | Hsing Ching Hsu, individual... |
Mar. 22, 2019
Feb. 4, 2019 |
|
Securities
Securities Fraud
Verdict:
$2,000,000
|
$2,000,000
|
Maxine M. Chesney | Ajay Malhotra, individually... |
Dec. 31, 2020
Nov. 6, 2020 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Irving J. Nast v. Equities ... |
Jan. 16, 2016
Nov. 24, 2015 |
|
|
Securities
Securities Fraud |
Plaintiff | Otis D. Wright II | Federal Trade Commission v.... |
Jan. 26, 2018
Oct. 23, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
John D. Haas, Kathy Haas, N... |
Jan. 16, 2016
Nov. 19, 2015 |
|
|
Securities
Expungement |
Expungement | Richard J. Kaplan | Marc Layne Lowell v. Argent... |
Jun. 21, 2019
Apr. 23, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$41,251
|
$41,251
|
Mary Nassimi v. Brookstreet... |
Feb. 3, 2007
Nov. 7, 2006 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Maged T. Ebrahim v. E-Trade... |
Aug. 13, 2016
Apr. 20, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$427,120
|
$427,120
|
U.S. Securities and Exchang... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,218,220
|
$1,218,220
|
Narramore Christian Foundat... |
Mar. 24, 2007
Nov. 27, 2006 |
|
|
Securities
Breach of Promissory Note
Verdict:
-$1
|
-$1
Mixed Result |
Piper Jaffray & Co. v. Lawr... |
Mar. 31, 2007
Nov. 3, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Gilbert H. Quintana, IRA; G... |
Apr. 28, 2012
Feb. 28, 2012 |
|
|
Securities
Fraud
Verdict:
$240,000
|
$240,000
|
Confidential |
Feb. 14, 1998
Dec. 16, 1997 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal with Leave to Amend |
Cement & Concrete Workers D... |
Aug. 24, 2013
Aug. 9, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
John S. Surinchak and Linda... |
Jan. 27, 2007
Nov. 3, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$149,763
|
$149,763
|
Wells Fargo Advisors LLC v.... |
Jun. 1, 2013
May 16, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
George Sardeson, Florence T... |
Dec. 30, 2006
Apr. 21, 2006 |
|
|
Securities
Violation of the Securities Act
Verdict:
$5,799,770
|
$5,799,770
|
Securities and Exchange Com... |
May 31, 2014
May 12, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Fred Hetzel v. Alpha Omega ... |
Feb. 14, 2015
Apr. 7, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$120,250
|
$120,250
|
Melvin Dias, Evelyn Dias v.... |
Sep. 24, 2011
Jul. 11, 2011 |
|
|
Securities
Breach of Contract |
Respondent | Roger B. Jacobs | Trenchant Funds USA LLC v. ... |
Apr. 12, 2019
Feb. 19, 2019 |
|
Securities
Securities Fraud
Verdict:
$8,000,000
|
$8,000,000
|
In re Cafepress Inc. Shareh... |
Jul. 18, 2015
May 8, 2015 |
|
|
Securities
Breach of Promissory Note
Verdict:
$175,734
|
$175,734
|
Ameriprise Financial Servic... |
Apr. 26, 2014
Mar. 28, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Jerry Mote v. First Allied ... |
Oct. 4, 2008
Jul. 15, 2008 |