58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Nov. 8, 2014
Oct. 15, 2014 |
|
|
Securities
Securities Fraud |
Respondent | Steven H. Gentry | Christina Billington as Suc... |
May 3, 2019
Mar. 8, 2019 |
|
Securities
Expungement |
Expungement | Robert D. Sussin | Albert Alan Aizin v. Syndic... |
May 3, 2019
Mar. 23, 2019 |
|
Securities
Expungement |
Expungement | Robert D. Sussin | Gary Robert Davis, Ariel Bo... |
Dec. 28, 2018
Sep. 12, 2018 |
|
Securities
Breach of Contract
Verdict:
$607,568
|
$607,568
|
UBS Financial Services Inc.... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
-$1
|
-$1
Defense |
U.S Securities and Exchange... |
Jan. 4, 2014
Dec. 10, 2013 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Donald Stunkart v. Edward J... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Dismissal | Harry G. Mason | Mary C. Lee v. AXA Advisors... |
Feb. 2, 2018
Dec. 4, 2017 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Sharyl J. Lee, individually... |
Apr. 27, 2013
Apr. 9, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$36,569
|
$36,569
|
Mark C. Perry | ODS Capital LLC v. Wedbush ... |
Feb. 1, 2019
Nov. 29, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissed with prejudice |
Ronald D. Hershey, Kara L. ... |
Feb. 28, 2009
May 20, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$428,800
|
$428,800
|
Jason Solomon and Janet Sol... |
Jul. 23, 2011
May 27, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$296,981
|
$296,981
|
UBS Financial Services Inc.... |
Jul. 23, 2011
May 27, 2011 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Lisa Ann Detanna v. Wedbush... |
Aug. 23, 2014
Aug. 6, 2014 |
|
|
Securities
Expungement |
Expungement | William W. Haskell | Keith Douglas Seibert v. Ci... |
Jan. 25, 2019
Dec. 7, 2018 |
|
Securities
Expungement |
Expungement | Kevin K. Forrester | John Gregory Paffendorf v. ... |
Jan. 25, 2019
Dec. 7, 2018 |
|
Securities
Violation of the Securities Act
Verdict:
$14,000,000
|
$14,000,000
|
Linda Wong, individually an... |
Feb. 8, 2014
Oct. 4, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joseph E. Czarnecki, Nancy ... |
Feb. 8, 2014
Jan. 14, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$8,750,000
|
$8,750,000
|
Samuel Hildenbrand, on beha... |
Feb. 8, 2014
Mar. 1, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$20,000,000
|
$20,000,000
|
Bhushan Athale, individuall... |
Feb. 8, 2014
May 16, 2013 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Dismissal |
Merrill Lynch, Pierce, Fenn... |
Feb. 1, 2014
Jan. 10, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$31,600,000
|
$31,600,000
|
Louisiana Municipal Police ... |
Feb. 8, 2014
Nov. 14, 2013 |
|
|
Securities
Violation of California Securities Law |
Expungement | Marc Kalish | Edith Seely, individually, ... |
Jan. 12, 2018
Jun. 21, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
James Elist, Emil Halimi, G... |
Nov. 20, 2010
Oct. 21, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$218,881.86 attorney fees and costs awarded to respondent Kristian Colvin |
Charles Schwab & Co. Inc. v... |
Nov. 20, 2010
Oct. 20, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,000
|
$80,000
|
Securities and Exchange Com... |
Nov. 20, 2010
Oct. 22, 2010 |
|
|
Securities
Expungement |
Expungement | Jimmy J. Suh v. Merrill Lyn... |
May 31, 2019
Apr. 17, 2019 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Justin Todd Miller v. Union... |
Aug. 23, 2014
Aug. 7, 2014 |
|
|
Securities
|
Expungement | Barbara M. Zak | Bonnie L. Hester (IRA), Jam... |
Mar. 1, 2019
Dec. 17, 2018 |
|
Securities
Expungement |
Expungement | David J. Anderson | Mark Robert Fasano, UBS Fin... |
Nov. 10, 2017
Oct. 11, 2017 |