58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Commodities
Verdict:
-$1
|
-$1
Dismissal |
Western and Southern Life I... |
Sep. 1, 2012
Jun. 29, 2012 |
|
|
Securities
Securities Fraud |
Defense | Yvonne Gonzalez Rogers | Christopher Hamilton, et al... |
Apr. 30, 2021
Apr. 5, 2021 |
|
Securities
Commodities
Verdict:
-$1
|
-$1
Equitable Settlement |
Amylin Pharmaceuticals Inc.... |
Dec. 3, 2011
Nov. 9, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$253,843
|
$253,843
|
Amnon Kawa, Amva Holdings, ... |
Sep. 4, 2010
Aug. 4, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$357,000
|
$357,000
|
Anthony J. Pryor v. Wells F... |
Apr. 15, 2017
Mar. 12, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$463,082
|
$463,082
|
U.S. Securities and Exchang... |
Jul. 17, 2020
Apr. 9, 2020 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Bernd Liebergesell, Annette... |
Aug. 16, 2014
Jul. 21, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$110,000
|
$110,000
|
The Delp Heritage Trust v. ... |
Aug. 16, 2014
Jul. 22, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$285,743
|
$285,743
|
Wells Fargo Advisors LLC fk... |
Jun. 4, 2011
May 2, 2011 |
|
|
Securities
Fraud
Verdict:
$751,000
|
$751,000
|
Dzintra Janavs | Richard Crowther v. Richard... |
Oct. 31, 1998
Jul. 31, 1998 |
|
Securities
Verdict:
$5,750,000
|
$5,750,000
|
People of the State of Cali... |
Mar. 12, 2021
Feb. 12, 2021 |
|
|
Securities
Securities Exchange Act
Verdict:
$6,750,000
|
$6,750,000
|
Claudia Wilken | In re: GoPro Stockholder De... |
Jan. 6, 2023
Jul. 28, 2021 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Diegel Family Living Trust ... |
Aug. 16, 2014
Jul. 28, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$831,860
|
$831,860
|
Robert E. Lee, individually... |
Nov. 5, 2011
Jul. 29, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claim Denial |
R. Kent Emigh, individually... |
Aug. 27, 2011
Aug. 2, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$49,976
|
$49,976
|
Judith A. Malone v. Fidelit... |
Nov. 5, 2011
Jul. 30, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$85,000
|
$85,000
|
Securities and Exchange Com... |
Sep. 6, 2014
Feb. 21, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$29,547
|
$29,547
|
Stacy Ann Gale v. E-Trade S... |
Apr. 12, 2014
Mar. 20, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$5,998,000
|
$5,998,000
|
David O. Carter | Securities and Exchange Com... |
Dec. 10, 2021
Nov. 19, 2021 |
|
Securities
Unfair Business Practices
Verdict:
-$1
|
-$1
Equitable Agreement |
James W. Edwards derivative... |
Sep. 6, 2014
May 19, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Bobby Dean Taylor v. Banc o... |
Apr. 1, 2006
Nov. 23, 2005 |
|
|
Securities
Securities Exchange Act
Verdict:
$98,000,000
|
$98,000,000
|
In Re Mattel Inc. Securitie... |
Jul. 8, 2022
May 18, 2022 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Rodolfo C. and Maria O. Del... |
Mar. 21, 2015
Feb. 19, 2015 |
|
|
Securities
|
Mary E. Wiss | State of California, ex rel... |
Nov. 8, 2019
Apr. 15, 2019 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Injunction |
Securities and Exchange Com... |
Apr. 9, 2016
Mar. 1, 2016 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
William Feinstein v. Merril... |
Dec. 9, 2006
Sep. 21, 2006 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Stanley Levine, Charles Bri... |
Jun. 21, 2014
Jun. 11, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Rick Cooper v. Richard Anth... |
Jun. 21, 2014
Jun. 4, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$54,248,374
|
$54,248,374
|
David O. Carter | Hsingching Hsu, individuall... |
Feb. 24, 2023
Aug. 2, 2022 |
|
Securities
Expungement |
Expungement | Martin M. Van Luven | Stephen Gerard Rossi Sr. v.... |
Dec. 15, 2017
Nov. 1, 2017 |