58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
False Claims Act
Verdict:
$150,000,000
|
$150,000,000
|
Anne-Christine T. Massullo | People of the State of Cali... |
Jun. 28, 2019
Apr. 24, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
James Eischen, Nada Eischen... |
Sep. 24, 2011
Jul. 5, 2011 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Mark Kalish | Larry Haberkorn v. Wells Fa... |
Sep. 1, 2017
Jun. 22, 2017 |
|
Securities
Expungement |
Expungement | Sandra J. Mullings | Jeremy Paul v. Citigroup Gl... |
Jan. 25, 2019
Dec. 11, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$32,710
|
$32,710
|
Thomas R. Watkins | David Caidar, individually ... |
Feb. 1, 2019
Dec. 7, 2018 |
|
Securities
Securities Fraud |
Dismissal | James Donato | In re Stitch Fix Inc. Secur... |
Oct. 29, 2021
Sep. 30, 2021 |
|
Securities
Expungement |
Expungement | George L. Tindall | Kurt Charles Jackson v. Mer... |
Feb. 1, 2019
Dec. 13, 2018 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Eric Allen Sigdestad, Shane... |
May 25, 2013
May 13, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$448,562
|
$448,562
|
Suzy Asad v ProEquities Inc... |
May 25, 2013
May 14, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$3,750,000
|
$3,750,000
|
U.S. Securities and Exchang... |
Jun. 1, 2013
May 15, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Lee Alfred Tripodi v. Worth... |
Jun. 8, 2013
May 20, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$323,353
|
$323,353
|
Herbert A. Schwartz | Morgan Stanley Smith Barney... |
Oct. 6, 2017
Aug. 7, 2017 |
|
Securities
Breach of Contract |
Respondent | Walter S. Schwartz | William James Lane v. Farme... |
Oct. 6, 2017
Jul. 27, 2017 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Steven Moreno v. Merrill Ly... |
May 24, 2019
Apr. 9, 2019 |
|
|
Securities
Breach of Contract |
Respondent | Teresa Valdez, as an indivi... |
Nov. 20, 2020
Oct. 13, 2020 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Michael Fairservice, Locals... |
May 11, 2013
Jun. 22, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$2,300,000
|
$2,300,000
|
Mark C. Scarsi | Securities and Exchange Com... |
Apr. 8, 2022
Mar. 9, 2022 |
|
Securities
Expungement |
Expungement | Lauren Ann Gidley v. First ... |
May 24, 2019
Apr. 10, 2019 |
|
|
Securities
|
Expungement | Richard Jay Zinman v. UBS F... |
May 24, 2019
Apr. 9, 2019 |
|
|
Securities
Expungement |
Expungement | Richard W. Vallario | Rushdi Zalatimo v. J.P. Tur... |
Dec. 14, 2018
Oct. 10, 2018 |
|
Securities
Expungement |
Expungement | Merton E. Marks | Jason Andres Zilveti v. UBS... |
Dec. 14, 2018
Nov. 21, 2018 |
|
Securities
Violations of Exchange Act
Verdict:
$500,000,000
|
$500,000,000
|
Maine State Retirement Syst... |
May 18, 2013
Apr. 17, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$15,368
|
$15,368
|
William A. Tudor and Kathle... |
Jul. 10, 2010
Jun. 4, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$384,210
|
$384,210
|
Banc of America Investment ... |
Jul. 10, 2010
Jun. 15, 2010 |
|
|
Securities
Securities Fraud |
Preliminary Injunction | James V. Selna | Securities and Exchange Com... |
May 17, 2019
Apr. 4, 2019 |
|
Securities
Expungement |
Expungement | Elliott D. Finkel | Duncan Earl Rolph v. City N... |
May 3, 2019
Mar. 6, 2019 |
|
Securities
Securities Exchange Act |
Dismissal | Gonzalo P. Curiel | LifeVoxel Virginia SPV LLC;... |
May 30, 2025
Dec. 31, 2024 |
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Haywood S. Gilliam Jr. | In Re Aqua Metals Inc. Secu... |
Mar. 25, 2022
Mar. 8, 2022 |
|
Securities
Securities Fraud
Verdict:
$783,287
|
$783,287
|
Charles Michaels | Chad W. Whitmore and Susan ... |
Dec. 14, 2018
Nov. 20, 2018 |
|
Securities
Fraud
Verdict:
$91,000
|
$91,000
|
Susan Emadi v. Donald & Com... |
Aug. 21, 1999
Apr. 15, 1999 |