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58204 Rulings

Topic Case Name Published / Result

Securities

Securities
Breach of Fiduciary Duty
Verdict: -$1
Matthew Lam v. Charles Schw... Apr. 2, 2011
    Mar. 14, 2011
Securities
Fraud
Verdict: $185,946
U.S. Securities and Exchang... Feb. 14, 2009
    Nov. 12, 2008
Securities
Stocks
Verdict: -$1
Dixon v. Cost Plus Inc., et... Aug. 18, 2012
    Jun. 27, 2012
Securities
Negligence
David W. Appel Jr., Gimme S... Jan. 26, 2018
    Jan. 2, 2018
Securities
Fraud
Verdict: $872,000
Securities and Exchange Com... Dec. 29, 2007
    Sep. 12, 2007
Securities
Breach of Contract
Verdict: -$1
Phillip Parriott, as Truste... Mar. 1, 2014
    Feb. 3, 2014
Securities
Breach of Promissory Note
Verdict: $34,800
Wells Fargo Advisors LLC v.... Aug. 25, 2017
    Jul. 11, 2017
Securities
Securities Exchange Act
Sofia Zoumboulakis v. Richa... Nov. 3, 2017
    Sep. 22, 2017
Securities
Expungement
Brandi Rose Stahl v. Lincol... Mar. 15, 2019
    Jan. 22, 2019
Securities
Securities Fraud
Verdict: $3,750,000
U.S. Securities and Exchang... Jun. 1, 2013
    May 15, 2013
Securities
Fraud
Verdict: $18,000,000
In Re Rambus Inc. Securitie... Oct. 13, 2007
    Jun. 29, 2007
Securities
Securities Exchange Act
In re: Alteryx Inc. Securit... Nov. 18, 2022
    Aug. 2, 2021
Securities
Stocks
Verdict: -$1
Nabil Athanassious, Janette... Mar. 1, 2014
    Feb. 4, 2014
Securities
Securities Exchange Act
Verdict: $12,015,000
In re: Vaxart Inc. Securiti... Nov. 18, 2022
    Sep. 15, 2022
Securities
Securities Fraud
Verdict: $7,500,000
In the Matter of Qualcomm Inc. Apr. 2, 2016
    Mar. 1, 2016
Securities
Breach of Fiduciary Duty
Kosti Shirvanian and Marian... Dec. 22, 2017
    Oct. 27, 2017
Securities
Securities Fraud
Verdict: $200,000
Securities and Exchange Com... Jan. 26, 2018
    Dec. 22, 2017
Securities
Securities Exchange Act
Verdict: $19,000,000
Vancouver Alumni Asset Hold... Jun. 19, 2020
    Apr. 29, 2020
Securities
Securities Exchange Act
Verdict: $90,961
Securities and Exchange Com... Feb. 7, 2015
    Dec. 23, 2014
Securities
Securities Exchange Act
Verdict: $75,000
Securities and Exchange Com... Feb. 23, 2024
    Apr. 13, 2023
Securities
Breach of Fiduciary Duty
Verdict: -$1
Juliet Baruch v. Citigroup ... Jan. 8, 2011
    Dec. 9, 2010
Securities
Securities Exchange Act
Verdict: $8,500,000
In re: Stable Road Acquisit... Feb. 9, 2024
    Sep. 20, 2023
Securities
Breach of Fiduciary Duty
Peter R. de Castro v. UBS F... Oct. 6, 2017
    Aug. 29, 2017
Securities
Securities Fraud
Verdict: $19,750,000
In re SunPower Securities L... Apr. 27, 2013
    Feb. 1, 2013
Securities
Breach of Contract
Verdict: -$1
Lee Alfred Tripodi v. Worth... Jun. 8, 2013
    May 20, 2013
Securities
Professional Malpractice
Verdict: $4,500,000
In re: Wireless Facilities ... May 16, 2009
    Aug. 29, 2008
Securities
Breach of Fiduciary Duty
Verdict: -$1
Rene Garcia v. Morgan Stanl... May 6, 2006
    Jan. 11, 2006
Securities
Breach of Fiduciary Duty
Verdict: -$1
Joann Laskin v. Banc of Ame... Apr. 17, 2010
    Mar. 18, 2010
Securities
Breach of Fiduciary Duty
Verdict: -$1
R. Kent Emigh, individually... Aug. 27, 2011
    Aug. 2, 2011
Securities
Expungement
Cynthia Mary Couyoumjian v.... Mar. 13, 2020
    Nov. 8, 2019