57927 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,030
|
$80,030
|
David Jeffrey Herman v. Mos... |
Jun. 23, 2012
Oct. 10, 2011 |
|
|
Securities
Violation of the Securities Act
Verdict:
$5,000,000
|
$5,000,000
|
Panther Partners Inc. v. Ik... |
Apr. 27, 2013
Mar. 25, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Jason Roberts Coles v. Well... |
Jun. 30, 2012
Aug. 24, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$4,800,000
|
$4,800,000
|
In Re American Apparel Inc.... |
May 31, 2014
Apr. 16, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
$115,397.26 |
Daniel L. Villanueva Family... |
Sep. 24, 2011
Jun. 27, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$476,583
|
$476,583
|
Thomas J. Hewkin, Kathy S. ... |
May 2, 2015
Mar. 19, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Robert Blakeman and Anne Bl... |
Jul. 26, 2014
Jun. 27, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$14,629
|
$14,629
|
Harold Edmonson v. First Mi... |
Apr. 5, 2014
Mar. 7, 2014 |
|
|
Securities
Expungement |
Expungement | Thomas D. Reese | Richard M. Del Monte v. Sec... |
Mar. 1, 2019
Jan. 10, 2019 |
|
Securities
Securities Exchange Act |
Dismissal | Edward J. Davila | In re: VMWare Inc. Stockhol... |
Mar. 1, 2024
Mar. 21, 2023 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Paul Stiehl and Patricia St... |
Mar. 28, 2015
Feb. 12, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Pension Trust Fund for Oper... |
Nov. 9, 2013
Sep. 25, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$25,000,000
|
$25,000,000
|
Haywood S. Gilliam Jr. | In re: Lyft Inc. Securities... |
Nov. 17, 2023
Aug. 9, 2023 |
|
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
Expungement |
Expungement | Laurel L. Gothelf | Travis Jerome Hughes v. AXA... |
Feb. 1, 2019
Nov. 28, 2018 |
|
Securities
Breach of Contract
Verdict:
$435,383
|
$435,383
|
Patrick "Brian" FitzWilliam... |
Sep. 7, 2013
Aug. 15, 2013 |
|
|
Securities
Securities Fraud |
Respondent | Schneider Family Limited Pa... |
Jun. 28, 2019
May 2, 2019 |
|
|
Securities
Expungement |
Expungement Denied | Herbert A. Schwartz | Kevin Thomas Moran v. Ameri... |
Mar. 1, 2019
Jan. 9, 2019 |
|
Securities
Securities Fraud
Verdict:
$21,200,000
|
$21,200,000
|
Plumbers' Union Local No. 1... |
Feb. 8, 2014
Dec. 19, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$50,000
|
$50,000
|
Deanna Lynn Buchholz v. Cam... |
May 24, 2014
Apr. 28, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Flaherty & Crumrine Preferr... |
Aug. 28, 2010
Jun. 23, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$193,163
|
$193,163
|
Michael Armstrong, Michael ... |
Sep. 24, 2011
Jun. 22, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissed with prejudice |
Ronald D. Hershey, Kara L. ... |
Feb. 28, 2009
May 20, 2008 |
|
|
Securities
CRD Records |
Expungement | Richard J. Stall Jr. | Charles Paul Reinhold v. HB... |
Aug. 25, 2017
Jul. 17, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,359
|
$1,359
|
WT Acquisition LLC v. E*Tra... |
Mar. 10, 2012
Feb. 10, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Susan Frances Bostian v. Me... |
Nov. 18, 2006
Jan. 25, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$428,800
|
$428,800
|
Jason Solomon and Janet Sol... |
Jul. 23, 2011
May 27, 2011 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Ronald Cey, Frances Cey, Gi... |
Jun. 11, 2016
Apr. 27, 2016 |
|
|
Securities
Negligence
Verdict:
$25,000
|
$25,000
|
Steve R. Fraser v. Wachovia... |
Mar. 12, 2011
Feb. 11, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Juliet Baruch v. Citigroup ... |
Jan. 8, 2011
Dec. 9, 2010 |
