57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$19,750,000
|
$19,750,000
|
Andrew J. Guilford | In re Banc of California Se... |
Jan. 3, 2020
Dec. 2, 2019 |
|
Securities
Securities Fraud |
Defense | Yvonne Gonzalez Rogers | Christopher Hamilton, et al... |
Apr. 30, 2021
Apr. 5, 2021 |
|
Securities
Securities Fraud |
Dismissal | Marc Kalish | Greg and Karla Biddle v. We... |
Dec. 21, 2018
Oct. 22, 2018 |
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Joseph R. Loprieato, Peggy ... |
May 24, 2014
Apr. 29, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$531,783
|
$531,783
|
Morgan Stanley Smith Barney... |
Feb. 2, 2013
Jan. 17, 2013 |
|
|
Securities
FINRA Rules
Verdict:
$500,000
|
$500,000
|
In the Matter of Department... |
Dec. 20, 2014
Apr. 24, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
David J. Foster on behalf o... |
Aug. 21, 2010
Aug. 5, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Steven Steinberg v. UBS Fin... |
Sep. 11, 2010
Aug. 18, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Louise Leon v. Dale William... |
Jan. 19, 2013
Dec. 21, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$550,505
|
$550,505
|
The Selan Family Trust dd A... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Keith M. Steel, Anpei Lin, ... |
Feb. 2, 2013
Jan. 16, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$10,000
|
$10,000
|
David C. Swedelson and Sand... |
Nov. 12, 2011
Oct. 17, 2011 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Feb. 9, 2013
Jan. 23, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$401,364
|
$401,364
|
Morgan Stanley Smith Barney... |
Feb. 9, 2013
Jan. 29, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$1,246,160
|
$1,246,160
|
Agnes Barrelet IRA, Agnes C... |
Jun. 28, 2014
Jun. 11, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$581,094
|
$581,094
|
Morgan Stanley Smith Barney... |
Dec. 10, 2016
Oct. 26, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Ronald Eckerman and Carol J... |
Jul. 4, 2014
Jun. 13, 2014 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Seymour Berger and Barbara ... |
Sep. 21, 2013
Sep. 9, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$127,944
|
$127,944
|
George Putnam v. Citigroup ... |
Sep. 24, 2011
Aug. 20, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
William and Ellen Byrns Tru... |
Nov. 2, 2013
Oct. 14, 2013 |
|
|
Securities
Commodities
Verdict:
$3,000,000
|
$3,000,000
|
Securities and Exchange Com... |
Apr. 30, 2011
Mar. 22, 2011 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement Denied |
Mark Robert Fasano, UBS Fin... |
Jul. 4, 2014
Jun. 12, 2014 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement |
Scott Blair v. UBS Financia... |
May 21, 2016
Apr. 18, 2016 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Preliminary Injunction |
Securities and Exchange Com... |
May 14, 2016
Apr. 18, 2016 |
|
|
Securities
Fraud
Verdict:
$235,000,000
|
$235,000,000
|
In re Charles Schwab Corp. ... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
The Brown Revocable Living ... |
Oct. 1, 2011
Jul. 14, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,030
|
$80,030
|
David Jeffrey Herman v. Mos... |
Jun. 23, 2012
Oct. 10, 2011 |
|
|
Securities
Negligence
Verdict:
$323,122
|
$323,122
|
D Vollstedt & S Vollstedt T... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,200,000
|
$1,200,000
|
Henry Kankowski, Patrice Ka... |
Sep. 24, 2011
Jul. 5, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$200,000
|
$200,000
|
Robert W. Ralston, Susan B.... |
Sep. 24, 2011
Jul. 1, 2011 |