58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Matthew Lam v. Charles Schw... |
Apr. 2, 2011
Mar. 14, 2011 |
|
|
Securities
Fraud
Verdict:
$185,946
|
$185,946
|
U.S. Securities and Exchang... |
Feb. 14, 2009
Nov. 12, 2008 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Injunction Denied |
Dixon v. Cost Plus Inc., et... |
Aug. 18, 2012
Jun. 27, 2012 |
|
|
Securities
Negligence |
Dismissal | David S. Billet | David W. Appel Jr., Gimme S... |
Jan. 26, 2018
Jan. 2, 2018 |
|
Securities
Fraud
Verdict:
$872,000
|
$872,000
|
Securities and Exchange Com... |
Dec. 29, 2007
Sep. 12, 2007 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Phillip Parriott, as Truste... |
Mar. 1, 2014
Feb. 3, 2014 |
|
|
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
Securities Exchange Act |
Dismissal | Edward J. Davila | Sofia Zoumboulakis v. Richa... |
Nov. 3, 2017
Sep. 22, 2017 |
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Brandi Rose Stahl v. Lincol... |
Mar. 15, 2019
Jan. 22, 2019 |
|
Securities
Securities Fraud
Verdict:
$3,750,000
|
$3,750,000
|
U.S. Securities and Exchang... |
Jun. 1, 2013
May 15, 2013 |
|
|
Securities
Fraud
Verdict:
$18,000,000
|
$18,000,000
|
In Re Rambus Inc. Securitie... |
Oct. 13, 2007
Jun. 29, 2007 |
|
|
Securities
Securities Exchange Act |
Dismissal | David O. Carter | In re: Alteryx Inc. Securit... |
Nov. 18, 2022
Aug. 2, 2021 |
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
Nabil Athanassious, Janette... |
Mar. 1, 2014
Feb. 4, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$12,015,000
|
$12,015,000
|
Vince G. Chhabria | In re: Vaxart Inc. Securiti... |
Nov. 18, 2022
Sep. 15, 2022 |
|
Securities
Securities Fraud
Verdict:
$7,500,000
|
$7,500,000
|
In the Matter of Qualcomm Inc. |
Apr. 2, 2016
Mar. 1, 2016 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | John K. Hart | Kosti Shirvanian and Marian... |
Dec. 22, 2017
Oct. 27, 2017 |
|
Securities
Securities Fraud
Verdict:
$200,000
|
$200,000
|
Stephen V. Wilson | Securities and Exchange Com... |
Jan. 26, 2018
Dec. 22, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$19,000,000
|
$19,000,000
|
Dale S. Fischer | Vancouver Alumni Asset Hold... |
Jun. 19, 2020
Apr. 29, 2020 |
|
Securities
Securities Exchange Act
Verdict:
$90,961
|
$90,961
Consent Judgment |
Securities and Exchange Com... |
Feb. 7, 2015
Dec. 23, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$75,000
|
$75,000
|
John W. Holcomb | Securities and Exchange Com... |
Feb. 23, 2024
Apr. 13, 2023 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Juliet Baruch v. Citigroup ... |
Jan. 8, 2011
Dec. 9, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
$8,500,000
|
$8,500,000
|
John F. Walter | In re: Stable Road Acquisit... |
Feb. 9, 2024
Sep. 20, 2023 |
|
Securities
Breach of Fiduciary Duty |
Expungement | William M. Samsel | Peter R. de Castro v. UBS F... |
Oct. 6, 2017
Aug. 29, 2017 |
|
Securities
Securities Fraud
Verdict:
$19,750,000
|
$19,750,000
|
In re SunPower Securities L... |
Apr. 27, 2013
Feb. 1, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Lee Alfred Tripodi v. Worth... |
Jun. 8, 2013
May 20, 2013 |
|
|
Securities
Professional Malpractice
Verdict:
$4,500,000
|
$4,500,000
|
In re: Wireless Facilities ... |
May 16, 2009
Aug. 29, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
R. Carlton Seaver | Rene Garcia v. Morgan Stanl... |
May 6, 2006
Jan. 11, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Joann Laskin v. Banc of Ame... |
Apr. 17, 2010
Mar. 18, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
R. Kent Emigh, individually... |
Aug. 27, 2011
Aug. 2, 2011 |
|
|
Securities
Expungement |
Respondent | Cynthia Mary Couyoumjian v.... |
Mar. 13, 2020
Nov. 8, 2019 |