58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Glen D. Robertson, Susan L.... |
Mar. 12, 2011
Feb. 17, 2011 |
|
|
Securities
Unsuitability
Verdict:
$170,062
|
$170,062
|
Debra Bitney, individually ... |
Jan. 26, 2018
Dec. 12, 2017 |
|
|
Securities
Commodities
Verdict:
$65,000,000
|
$65,000,000
|
Michael M. Anello | Lou Baker, individually and... |
Apr. 24, 2020
Feb. 18, 2020 |
|
Securities
Breach of Promissory Note
Verdict:
$345,382
|
$345,382
Claimant |
Wells Fargo Advisors, LLC v... |
Jul. 17, 2020
Mar. 26, 2020 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Ryan Kelly and Louis Mastro... |
Nov. 15, 2014
Oct. 20, 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 |
Claimant | Paul D. Kuhn v. Jimmy D. Epley |
Aug. 7, 2020
Mar. 27, 2020 |
|
|
Securities
Negligence
Verdict:
$36,817,300
|
$36,817,300
|
Linda J. Beeson, et al. v. ... |
Apr. 11, 2015
Dec. 12, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$991,728
|
$991,728
|
Wells Fargo Investments LLC... |
Jun. 22, 2013
Mar. 19, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$463,082
|
$463,082
|
U.S. Securities and Exchang... |
Jul. 17, 2020
Apr. 9, 2020 |
|
|
Securities
Securities Exchange Act |
Dismissal | David O. Carter | R. Brian Terenzini, individ... |
Jul. 29, 2022
Jun. 9, 2022 |
|
Securities
Stocks
Verdict:
$11,023
|
$11,023
|
David de Groot v. E-Trade S... |
Oct. 18, 2014
Mar. 27, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Rosa R. Makwana, Jitendra J... |
Dec. 21, 2013
Nov. 21, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Steven Savary v. Wells Farg... |
Apr. 19, 2014
Mar. 25, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ronald L. Pelley v. Charles... |
Feb. 20, 2010
Jan. 21, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
$2,400,000
|
$2,400,000
|
Anthony J. Battaglia | Mohammed Usman Ali, individ... |
May 10, 2024
May 24, 2023 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claimants |
Friedman, et al. v. Brewste... |
Feb. 12, 2011
Jan. 7, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal with Leave |
David Browning, individuall... |
Apr. 12, 2014
Mar. 24, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$252,455
|
$252,455
|
Securities and Exchange Com... |
Oct. 15, 2016
Sep. 23, 2016 |
|
|
Securities
Expungement |
Expungement | Barbara M. Zak | Adam Scot Goldstein v. Amer... |
Mar. 1, 2019
Dec. 28, 2018 |
|
Securities
Breach of Contract
Verdict:
$120,250
|
$120,250
|
Melvin Dias, Evelyn Dias v.... |
Sep. 24, 2011
Jul. 11, 2011 |
|
|
Securities
Negligence
Verdict:
$309,750
|
$309,750
|
Paul Azarian, Loreta Azaria... |
Apr. 12, 2014
Mar. 21, 2014 |
|
|
Securities
Expungement |
Expungement | Matthew T. Leone v. Merrill... |
Mar. 20, 2020
Nov. 27, 2019 |
|
|
Securities
Breach of Contract
Verdict:
$90,474
|
$90,474
|
Charles Schwab & Co., Inc. ... |
Apr. 14, 2007
Jul. 28, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$1,000,000
|
$1,000,000
|
Larry Greg Fullmer v. Goldm... |
Dec. 6, 2008
Oct. 3, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement Granted |
King Credit Shelter Trust, ... |
Mar. 26, 2011
Feb. 18, 2011 |
|
|
Securities
Expungement |
Expungement | Elliott D. Finkel | David Hunt v. Merrill Lynch... |
Apr. 10, 2020
Feb. 24, 2020 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Rhonda Grallnick v. Charles... |
Apr. 15, 2017
Mar. 8, 2017 |
|
|
Securities
Securities Exchange Act |
Defense | Lucy H. Koh | Jacob McGovney, et al. v. A... |
Mar. 22, 2019
Feb. 5, 2019 |
|
Securities
Negligent Misrepresentation |
Expungement | Michael Harrison | Charles W. Morgan, individu... |
Oct. 6, 2017
Aug. 22, 2017 |