57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
FINRA Rules |
Expungement | Richard J. Stall Jr. | James Edward Chiate v. Merr... |
Feb. 9, 2018
Nov. 22, 2017 |
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Cement Masons & Plasterers ... |
Jul. 20, 2013
Jun. 12, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$4,735,840
|
$4,735,840
|
Securities and Exchange Com... |
Sep. 27, 2014
Aug. 14, 2014 |
|
|
Securities
Securities Fraud |
Respondent | Theresa Taylor v. Interacti... |
Feb. 7, 2020
Oct. 31, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles Jia, Laura Xiaoluo ... |
Sep. 27, 2014
Sep. 5, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Third-Party Claim Denied |
Maximino Gutierrez v. Inves... |
Sep. 27, 2014
Sep. 5, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,900,000
|
$1,900,000
|
Jeffrey S. White | Avi Yaron, individually and... |
Dec. 16, 2022
Nov. 5, 2021 |
|
Securities
Securities Exchange Act |
Defense | Mark C. Scarsi | William Baker, Jill Sligay,... |
Jun. 7, 2024
Mar. 5, 2024 |
|
Securities
Negligence
Verdict:
$6,932
|
$6,932
|
Steven A. Brick | Persall v. Northwestern |
Jan. 18, 1997
Oct. 1, 1996 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Brad Johnson v. Wells Fargo... |
Jan. 4, 2014
Dec. 13, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$190,000
|
$190,000
|
Robert M. Sapp Jr. v. ING F... |
Aug. 4, 2012
Jul. 10, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Raymond James Financial Ser... |
Jun. 12, 2010
May 20, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$118,900,000
|
$118,900,000
|
Securities And Exchange Com... |
Feb. 5, 2011
Jan. 11, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Fred Hetzel v. Alpha Omega ... |
Feb. 14, 2015
Apr. 7, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Yucaipa American Alliance F... |
Feb. 5, 2011
Aug. 12, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Agreement |
Mary D. Calzat, individuall... |
Feb. 5, 2011
|
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Thomas E. Shuck | Paul Michel v. E-Trade Secu... |
Sep. 1, 2017
Jun. 7, 2017 |
|
Securities
Employment
Verdict:
$4,286,120
|
$4,286,120
|
Michael Paul Farah v. Wedbu... |
Oct. 12, 2013
Sep. 25, 2013 |
|
|
Securities
Expungement |
Expungement | Matthew T. Leone v. Merrill... |
Mar. 20, 2020
Nov. 27, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$16,500,000
|
$16,500,000
|
In re Apple Inc. Securities... |
Jan. 22, 2011
Nov. 22, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Dana K. Anderson and Nancy ... |
Oct. 12, 2013
Sep. 25, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Mansour Matloob and Mansour... |
Jan. 19, 2013
Dec. 21, 2012 |
|
|
Securities
Expungement |
Expungement | Craig Wakefield v. Merrill ... |
Mar. 20, 2020
Nov. 25, 2019 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Richard Norman | Simco Company v. E-Trade Se... |
Sep. 1, 2017
Jun. 23, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$154,687,500
|
$154,687,500
|
Stephen V. Wilson | In Re Snap Inc. Securities ... |
May 1, 2020
Mar. 20, 2020 |
|
Securities
Expungement |
Alan Jerome Schryer v. Mone... |
Feb. 21, 2020
Dec. 17, 2019 |
||
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Douglas Anthony Bott v. UBS... |
Feb. 2, 2013
Jan. 14, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$14,171
|
$14,171
|
Poppie Phillips, individual... |
Jan. 15, 2011
Dec. 8, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondents |
UBS Financial Services Inc.... |
Jun. 29, 2013
Jun. 11, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$175,734
|
$175,734
|
Ameriprise Financial Servic... |
Apr. 26, 2014
Mar. 28, 2014 |