57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Lorenzo Daniel Esparza v. J... |
Mar. 1, 2019
Dec. 27, 2018 |
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Donald Bradford Crane v. Ce... |
Apr. 10, 2020
Feb. 28, 2020 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal with Leave to Amend |
Cement & Concrete Workers D... |
Aug. 24, 2013
Aug. 9, 2013 |
|
|
Securities
Expungement |
Respondent | Alan Stamm | Timothy Heft Hughes v. SECU... |
Mar. 1, 2019
Jan. 3, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Robert J. Coffey, individua... |
Oct. 22, 2011
Oct. 3, 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 Contract
Verdict:
$883,334
|
$883,334
|
Jefferies LLC v. Jerald Ebe... |
Apr. 10, 2020
Feb. 20, 2020 |
|
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Defense |
Linden Pasadena Properties,... |
Jan. 8, 2011
Dec. 2, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$16,787,028
|
$16,787,028
|
Christina A. Snyder | Federal Trade Commission v.... |
Jul. 25, 2025
May 6, 2025 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Injunctive Relief |
Securities and Exchange Com... |
Oct. 22, 2011
Oct. 3, 2011 |
|
|
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
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Jack Permutter, individuall... |
Oct. 22, 2011
Aug. 10, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Sanofi-Aventis Securi... |
Feb. 8, 2014
Sep. 23, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$34,800
|
$34,800
|
Nancy J. Spieczny | Wells Fargo Advisors LLC v.... |
Aug. 25, 2017
Jul. 11, 2017 |
|
Securities
Expungement |
Expungement | Robert D. Sussin | Albert Alan Aizin v. Syndic... |
May 3, 2019
Mar. 23, 2019 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Frank J. Fosbre Jr., indivi... |
Jan. 28, 2017
Jan. 3, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement Granted |
King Credit Shelter Trust, ... |
Mar. 26, 2011
Feb. 18, 2011 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Preliminary Injunction Granted |
Greenlight Capital LP et al... |
Mar. 9, 2013
Feb. 22, 2013 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Bruce Stewart, Trustee of t... |
Oct. 26, 2013
Oct. 9, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$321,933
|
$321,933
|
Citigroup Global Markets In... |
Jun. 18, 2011
May 5, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Liability |
Securities and Exchange Com... |
May 29, 2010
Apr. 23, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Tom Garcia v. Fidelity Brok... |
Oct. 26, 2013
Oct. 10, 2013 |
|
|
Securities
Expungement |
Expungement | Philip A. Tymon | John W. Kettmann v. Morgan ... |
Mar. 1, 2019
Dec. 24, 2018 |
|
Securities
Securities Fraud
Verdict:
$2,600,000
|
$2,600,000
|
Manuel L. Real | Khalil Zaghian, individuall... |
Jun. 30, 2017
May 5, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | John K. Hart | Kosti Shirvanian and Marian... |
Dec. 22, 2017
Oct. 27, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$7,500,000
|
$7,500,000
|
Christina A. Snyder | Jian Zhou, individually and... |
Feb. 9, 2024
Nov. 7, 2023 |
|
Securities
Securities Fraud
Verdict:
$7,500,000
|
$7,500,000
|
In the Matter of Qualcomm Inc. |
Apr. 2, 2016
Mar. 1, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$7,500,000
|
$7,500,000
|
Thomas E. Kuhnle | In re Mobileiron Inc., Shar... |
Jun. 30, 2017
Sep. 6, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kimon P. Daifotis v. Jinni ... |
Jun. 18, 2011
May 6, 2011 |
|
|
Securities
Expungement |
Expungement Denied | Herbert Liberman | Scott Daniel Hood v. Merril... |
Mar. 1, 2019
Dec. 18, 2018 |