58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
$15,000
|
$15,000
Claimant |
Wells Fargo Clearing Servic... |
Aug. 7, 2020
Mar. 11, 2020 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Randall B. Christison | Barbara Freeman v. J.P. Mor... |
Feb. 1, 2019
Dec. 4, 2018 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Ray Pollard, successor Trus... |
Nov. 10, 2017
Sep. 21, 2017 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Mark Alloy v. McLaughlin, P... |
Dec. 2, 2006
Sep. 13, 2006 |
|
|
Securities
Securities Fraud
Verdict:
$135,000
|
$135,000
|
Shirley Edwards v. R.W. Tow... |
Oct. 6, 2012
Aug. 4, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$200,000,000
|
$200,000,000
|
Richard Seeborg | Boston Retirement System v.... |
Oct. 11, 2024
Aug. 9, 2024 |
|
Securities
Expungement |
Claimant | Barak Raviv v. UBS Financia... |
Jun. 19, 2020
Apr. 9, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$693,000
|
$693,000
|
Michael Aberlich, Patricia ... |
Aug. 25, 2012
Aug. 2, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$542,768
|
$542,768
|
Jesus G. Bernal | Securities and Exchange Com... |
Oct. 8, 2021
Aug. 4, 2021 |
|
Securities
Securities Exchange Act
Verdict:
$25,000,000
|
$25,000,000
|
R. Gary Klausner | Trevor Mild, Individually a... |
Feb. 7, 2020
Nov. 22, 2019 |
|
Securities
Securities Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
Fernando L. Aenlle-Rocha | Killyoung Oh, individually,... |
Nov. 15, 2024
Mar. 19, 2024 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Mixed |
Bill John Callis v. Banc of... |
Mar. 17, 2012
Feb. 14, 2012 |
|
|
Securities
Verdict:
$5,750,000
|
$5,750,000
|
People of the State of Cali... |
Mar. 12, 2021
Feb. 12, 2021 |
|
|
Securities
Securities Fraud
Verdict:
$16,763,034
|
$16,763,034
|
Edward J. Davila | Securities and Exchange Com... |
May 17, 2019
Apr. 2, 2019 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Raymond James Financial Ser... |
Jun. 12, 2010
May 20, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$1,120,943
|
$1,120,943
|
David I. Brown | Kylae Jordan v. Landon Long... |
Mar. 21, 2025
Nov. 19, 2024 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
For Respondents |
Kari Heinrich Vogelbach, M.... |
Sep. 8, 2012
Feb. 28, 2012 |
|
|
Securities
Expungement |
Claimant | Robert D. Sussin | Lisa Ann Detanna v. Citigro... |
Nov. 29, 2019
Oct. 7, 2019 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Martin Brookes v. Matthew J... |
Sep. 22, 2012
Aug. 30, 2012 |
|
|
Securities
Stocks
Verdict:
$329,239
|
$329,239
|
Joan Kushner, Michael Eggim... |
Sep. 22, 2012
Aug. 30, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Patricia Tynan Chapman, ind... |
Dec. 31, 2010
Nov. 29, 2010 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Eric Anthony Broili v. Andr... |
Jan. 28, 2012
Dec. 28, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Melchor Gragirena, Karen Gr... |
Dec. 22, 2012
Nov. 19, 2012 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | Sally G. Williams | Bob Rogers, in his individu... |
Dec. 28, 2018
Sep. 26, 2018 |
|
Securities
Securities Fraud
Verdict:
$1,250,000
|
$1,250,000
|
Beth L. Freeman | Spencer Wong, Individually ... |
Apr. 23, 2021
Mar. 25, 2021 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$35,000
|
$35,000
|
Sallie Kim | Securities and Exchange Com... |
Jun. 5, 2020
Apr. 27, 2020 |
|
Securities
Verdict:
$150,000,000
|
$150,000,000
|
People of the State of Cali... |
Jun. 5, 2020
Apr. 25, 2019 |
|
|
Securities
Securities Exchange Act |
Permanent Injunction | Percy Anderson | Securities and Exchange Com... |
Aug. 12, 2022
May 27, 2022 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
M. C. Otis, individually an... |
Jan. 4, 2014
Dec. 6, 2013 |