57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Arlene Spitzer v. Morgan St... |
Dec. 23, 2006
May 15, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Mathew Zuckerman, Intermoun... |
Sep. 3, 2011
Mar. 30, 2011 |
|
|
Securities
Negligence
Verdict:
$12,133
|
$12,133
|
Peter P. Reddy Sr. v. E*Tra... |
Mar. 24, 2012
Jan. 17, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$553,333
|
$553,333
|
Keith Cohn, M.D., individua... |
Mar. 26, 2011
Feb. 18, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$32,307
|
$32,307
|
Gilbert W. Lee, Gilbert W. ... |
Mar. 19, 2011
Feb. 18, 2011 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
$411,624 to Respondent |
Charles Tom Lawson v. Morga... |
May 17, 2014
Apr. 21, 2014 |
|
|
Securities
Securities Exchange Act |
Dismissal | David O. Carter | R. Brian Terenzini, individ... |
Jul. 29, 2022
Jun. 9, 2022 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Steven Badeau; Geneva BCCX ... |
May 26, 2012
Apr. 9, 2012 |
|
|
Securities
FINRA Rules |
Expungement | Richard J. Stall Jr. | James Edward Chiate v. Merr... |
Feb. 9, 2018
Nov. 22, 2017 |
|
Securities
Breach of Fiduciary Duty |
Equitable Settlement | Thomas E. Kuhnle | Robert Shaffer, derivativel... |
Apr. 5, 2019
Jan. 18, 2019 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Mixed Decision |
Reuben Vollmer v. Genesis C... |
May 2, 2015
Mar. 19, 2015 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
William and Ellen Byrns Tru... |
Nov. 2, 2013
Oct. 14, 2013 |
|
|
Securities
NASD
Verdict:
$50,000
|
$50,000
|
John P. and Ana Jahn, Trust... |
Nov. 11, 2006
Jan. 23, 2006 |
|
|
Securities
Lending
Verdict:
-$1
|
-$1
Mixed |
Pacific Select Fund v. Bank... |
Mar. 17, 2012
Jan. 30, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph E. Czarnecki, Nancy ... |
Feb. 8, 2014
Jan. 14, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Judy Durgin, Derivatively o... |
Feb. 11, 2017
Jan. 10, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$2,157,243
|
$2,157,243
|
Janice L. Sperow | Donna Gambee v. David Lloyd... |
Feb. 2, 2018
Jan. 5, 2018 |
|
Securities
Securities Exchange Act |
Dismissal | Jon S. Tigar | City of Pontiac General Emp... |
Jan. 13, 2023
Mar. 1, 2022 |
|
Securities
Securities Fraud
Verdict:
$3,500,000
|
$3,500,000
|
In re Provectus Biopharmace... |
Jul. 9, 2016
Apr. 7, 2016 |
|
|
Securities
Negligence |
Expungement | Walter S. Schwartz | Janet E. Russ, individually... |
Jan. 12, 2018
Jul. 26, 2017 |
|
Securities
Expungement |
Expungement | Robert D. Sussin | Albert Alan Aizin v. Syndic... |
May 3, 2019
Mar. 23, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$734,118
|
$734,118
|
Josephine Wayman v. Securit... |
Jan. 29, 2011
Dec. 31, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Sergio Gavaldon, Angelica G... |
Dec. 29, 2012
Nov. 28, 2012 |
|
|
Securities
Violation of the Securities Act
Verdict:
$2,700,000
|
$2,700,000
|
Jeff Feyko, individually an... |
May 10, 2014
Mar. 7, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$469,954
|
$469,954
|
Lehman Brothers Holdings In... |
Jul. 21, 2012
Jun. 21, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Supplemental Disclosures |
Suzanne Newman, individuall... |
Mar. 1, 2014
Jan. 28, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Donald Adams, Suvawinds Inc... |
Feb. 11, 2017
Dec. 5, 2016 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Claim: $995,300; Cross-claim: $45,360 |
Grand Avenue Capital Partne... |
Apr. 10, 2010
Mar. 1, 2010 |
|
|
Securities
Fraud
Verdict:
$751,000
|
$751,000
|
Dzintra Janavs | Richard Crowther v. Richard... |
Oct. 31, 1998
Jul. 31, 1998 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Soleiman Ghalili v. Steven ... |
May 28, 2016
Mar. 28, 2016 |