58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$234,698 (net against Cutrera) |
Robert F. Brink v. BFT Fina... |
Oct. 30, 2010
Oct. 7, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Charles C. Patton v. Wells ... |
Oct. 30, 2010
Oct. 8, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$191,694
|
$191,694
|
Betsy Van Hees v. Cowen & C... |
Oct. 30, 2010
Oct. 7, 2010 |
|
|
Securities
Suitability
Verdict:
$17,680
|
$17,680
|
Stephen Picarello on behalf... |
May 25, 2013
May 8, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$11,558,100
|
$11,558,100
|
Larry Hagman, individually;... |
Oct. 30, 2010
Oct. 11, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Deborah J. Hill, individual... |
Oct. 30, 2010
Oct. 2, 2010 |
|
|
Securities
Commodities |
Dismissal | M. James Lorenz | Hodl Law PLLC v. Securities... |
Nov. 10, 2023
Jul. 28, 2023 |
|
Securities
Fraud
Verdict:
$7,000,000
|
$7,000,000
|
In re Basin Water Inc. Secu... |
Jun. 27, 2009
Mar. 12, 2009 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Justin Todd Miller v. Union... |
Aug. 23, 2014
Aug. 7, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$2,490,270
|
$2,490,270
|
Morgan Keegan & Company Inc... |
Aug. 23, 2014
Aug. 1, 2014 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Frank Meyers, individually;... |
Jan. 11, 2019
Oct. 4, 2018 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Seymour Berger and Barbara ... |
Sep. 21, 2013
Sep. 9, 2013 |
|
|
Securities
Fraud
Verdict:
$0
|
$0
|
Paul H. Alvarado | Kennilworth Partners v. Cri... |
Nov. 15, 2001
Oct. 10, 2001 |
|
Securities
Breach of Contract
Verdict:
$63,655,200
|
$63,655,200
|
Rosen Capital Partners LP, ... |
Sep. 24, 2011
Jun. 30, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$29,547
|
$29,547
|
Stacy Ann Gale v. E-Trade S... |
Apr. 12, 2014
Mar. 20, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Nathaniel L. Anderson, et a... |
Sep. 7, 2013
Aug. 23, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$85,000,000
|
$85,000,000
|
Landmen Partners Inc., indi... |
Sep. 28, 2013
Aug. 30, 2013 |
|
|
Securities
Stocks
Verdict:
$7,686,500
|
$7,686,500
|
In Re Pacific Biosciences o... |
Aug. 3, 2013
Jun. 3, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,250,000
|
$3,250,000
|
Susan Y. Illston | Jay Rabkin, individually an... |
Jan. 25, 2019
Sep. 28, 2018 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Nick Shahrestany, Milan Inv... |
Oct. 1, 2011
Jul. 14, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,100,000
|
$1,100,000
|
Fernando M. Olguin | Arthur Kaye IRA FCC as Cust... |
Jan. 11, 2019
Dec. 10, 2018 |
|
Securities
Expungement |
Claimant | Robert Z. Disman v. UBS Fin... |
Jan. 3, 2020
Nov. 6, 2019 |
|
|
Securities
Breach of Promissory Note
Verdict:
$533,535
|
$533,535
|
Wells Fargo Investments, LL... |
Jul. 31, 2010
Jun. 22, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Vickie Tedesco Parrish, ind... |
Oct. 1, 2011
Jul. 18, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$60,000
|
$60,000
|
Jeanne Van Order v. Securit... |
Jan. 27, 2007
Nov. 10, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$41,251
|
$41,251
|
Mary Nassimi v. Brookstreet... |
Feb. 3, 2007
Nov. 7, 2006 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Georgia Alexander v. Citigr... |
Dec. 14, 2013
Apr. 10, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,218,220
|
$1,218,220
|
Narramore Christian Foundat... |
Mar. 24, 2007
Nov. 27, 2006 |
|
|
Securities
Breach of Promissory Note
Verdict:
-$1
|
-$1
Mixed Result |
Piper Jaffray & Co. v. Lawr... |
Mar. 31, 2007
Nov. 3, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
John S. Surinchak and Linda... |
Jan. 27, 2007
Nov. 3, 2006 |