57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Exchange Act |
Dismissal | Brian Barry, individually a... |
Apr. 24, 2020
Feb. 21, 2020 |
|
|
Securities
Expungement |
Expungement | Demian Marc Fitzgerald v. B... |
Apr. 10, 2020
Feb. 13, 2020 |
|
|
Securities
|
Respondent | Steven Moreno v. Merrill Ly... |
Apr. 17, 2020
Feb. 4, 2020 |
|
|
Securities
Expungement |
Expungement | Brent Stanley Pine v. Voya ... |
Apr. 10, 2020
Feb. 14, 2020 |
|
|
Securities
Securities Fraud |
Respondent | Lyle LaMothe v. Merrill Lyn... |
May 29, 2020
Feb. 25, 2020 |
|
|
Securities
|
Respondent | Vedran Pogacnik v. TD Ameri... |
Apr. 17, 2020
Feb. 13, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$699,364
|
$699,364
|
David L. Valponi, individua... |
Apr. 17, 2020
Feb. 20, 2020 |
|
|
Securities
Expungement |
Jahanguir "John" Azodi v. B... |
Apr. 10, 2020
Feb. 17, 2020 |
||
|
Securities
Securities Fraud
Verdict:
$12,500,000
|
$12,500,000
|
Fernando M. Olguin | Cory Longo, individually an... |
Feb. 25, 2022
Oct. 22, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$8,319,233
|
$8,319,233
|
Move Inc. v. Citigroup Glob... |
Mar. 6, 2020
May 20, 2019 |
|
|
Securities
Securities Fraud |
DeAnnah L. Thomas, Richard ... |
Apr. 10, 2020
Feb. 20, 2020 |
||
|
Securities
Suitability |
Respondent | Michael Terry Nalewaja v. T... |
Apr. 10, 2020
Feb. 18, 2020 |
|
|
Securities
Securities Fraud
Verdict:
$2,600,000
|
$2,600,000
|
In the Matter of Total Weal... |
Oct. 10, 2015
Aug. 17, 2015 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Frank Charles Miller v. Wel... |
Sep. 7, 2013
Aug. 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$13,500
|
$13,500
|
Ellen Baron v. Banc of Amer... |
Feb. 20, 2010
Jan. 14, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
John C. Porter, Successor T... |
Oct. 24, 2015
Aug. 17, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Netflix, Inc. Securit... |
Sep. 7, 2013
Aug. 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$135,000,000
|
$135,000,000
|
The Commissioner of Financi... |
Jul. 25, 2025
Apr. 24, 2025 |
|
|
Securities
Violation of the Securities Act
Verdict:
$14,000,000
|
$14,000,000
|
Linda Wong, individually an... |
Feb. 8, 2014
Oct. 4, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph E. Czarnecki, Nancy ... |
Feb. 8, 2014
Jan. 14, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$8,750,000
|
$8,750,000
|
Samuel Hildenbrand, on beha... |
Feb. 8, 2014
Mar. 1, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$20,000,000
|
$20,000,000
|
Bhushan Athale, individuall... |
Feb. 8, 2014
May 16, 2013 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Dismissal |
Merrill Lynch, Pierce, Fenn... |
Feb. 1, 2014
Jan. 10, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ronald L. Pelley v. Charles... |
Feb. 20, 2010
Jan. 21, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Vincent Cervoni, Rita Cervo... |
Jan. 11, 2014
Dec. 19, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Gary Moye, Joel Vanblerkom ... |
Jan. 11, 2014
Dec. 20, 2013 |
|
|
Securities
Breach of Contract |
Respondent | Jeffrey M. Allen | El Capitan Limited Corporat... |
Mar. 8, 2019
Dec. 13, 2018 |
|
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
|
-$1
Defense |
Bonnie M. Shoultz v. Joshua... |
Nov. 27, 2010
Nov. 4, 2010 |
|
|
Securities
Negligence
Verdict:
$3,000,000
|
$3,000,000
|
In re Shoretel Inc. Securit... |
Nov. 13, 2010
Oct. 18, 2010 |