57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Gary Moye, Joel Vanblerkom ... |
Jan. 11, 2014
Dec. 20, 2013 |
|
|
Securities
Fraud
Verdict:
$7,000,000
|
$7,000,000
|
In re Basin Water Inc. Secu... |
Jun. 27, 2009
Mar. 12, 2009 |
|
|
Securities
Securities Fraud
Verdict:
$21,200,000
|
$21,200,000
|
Plumbers' Union Local No. 1... |
Feb. 8, 2014
Dec. 19, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,176,000
|
$1,176,000
|
Barbara M. Anscher | Michael Gerard Rom v. Phili... |
Feb. 2, 2018
Nov. 22, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$1,000,000
|
$1,000,000
|
Jon S. Tigar | Inchen Huang, individually ... |
Dec. 30, 2022
Aug. 29, 2022 |
|
Securities
Breach of Contract
Verdict:
$321,933
|
$321,933
|
Citigroup Global Markets In... |
Jun. 18, 2011
May 5, 2011 |
|
|
Securities
Expungement |
Expungement | Mark William Lininger v. RB... |
Apr. 17, 2020
Feb. 4, 2020 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Martha L. Meripol IRA, Rona... |
Sep. 20, 2014
Aug. 28, 2014 |
|
|
Securities
Fraud
Verdict:
$173,000,000
|
$173,000,000
|
Securities and Exchange Com... |
May 22, 2010
May 7, 2010 |
|
|
Securities
Professional Malpractice
Verdict:
$3,944
|
$3,944
|
Winston Lambert, Elaine Lam... |
Oct. 23, 2010
Sep. 22, 2010 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Susi Orlean Bahat Family Tr... |
Sep. 20, 2014
Aug. 28, 2014 |
|
|
Securities
Violation of the Securities Act
Verdict:
$6,500,000
|
$6,500,000
|
Tommy Jay Carter v. Affymax... |
Sep. 20, 2014
Aug. 28, 2014 |
|
|
Securities
Expungement |
Expungement | Michael John Tusing v. Deut... |
Apr. 17, 2020
Feb. 4, 2020 |
|
|
Securities
Securities Fraud
Verdict:
$10,000,000
|
$10,000,000
|
Larry A. Burns | Ervin Derr and Peter Shoema... |
Sep. 23, 2022
Aug. 15, 2022 |
|
Securities
Employment
Verdict:
-$1
|
-$1
Expungement |
Noriel Anibal Campos v. Bet... |
Sep. 13, 2014
Aug. 27, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kimon P. Daifotis v. Jinni ... |
Jun. 18, 2011
May 6, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Nathaniel L. Anderson, et a... |
Sep. 7, 2013
Aug. 23, 2013 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Justin Todd Miller v. Union... |
Aug. 23, 2014
Aug. 7, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$2,490,270
|
$2,490,270
|
Morgan Keegan & Company Inc... |
Aug. 23, 2014
Aug. 1, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$2,819,692
|
$2,819,692
|
Jeffrey S. White | Securities and Exchange Com... |
Jun. 24, 2022
Apr. 11, 2022 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$1,030,545 (for Shemano Group) |
The Shemano Group Inc. (Cla... |
Oct. 27, 2007
Jul. 5, 2007 |
|
|
Securities
Suitability
Verdict:
$277,468
|
$277,468
|
Richard A. Hingley, individ... |
Sep. 13, 2014
Aug. 22, 2014 |
|
|
Securities
Commodities |
Dismissal | M. James Lorenz | Hodl Law PLLC v. Securities... |
Nov. 10, 2023
Jul. 28, 2023 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Rachael Leigh Konz v. Marle... |
Dec. 7, 2013
Sep. 20, 2013 |
|
|
Securities
Fraud
Verdict:
$7,500,000
|
$7,500,000
|
People of the State of Cali... |
Nov. 29, 2008
Sep. 2, 2008 |
|
|
Securities
Securities Exchange Act |
Dismissal | George H. Wu | In Re: Semiconductor Manufa... |
Dec. 23, 2022
Jun. 9, 2022 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$619,083
|
$619,083
|
Pooroushasb Parineh and Par... |
Mar. 3, 2012
Feb. 9, 2012 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Brent R. Allan, Deborah B. ... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Mark Robert Fasano, UBS Fin... |
May 24, 2014
May 1, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$6,840,320
|
$6,840,320
|
Securities and Exchange Com... |
Mar. 19, 2011
Jul. 29, 2010 |