58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
John Brasfield v. Ameripris... |
Jun. 21, 2014
Jun. 2, 2014 |
|
|
Securities
Expungement |
Expungement Denied | Herbert A. Schwartz | Leila Suely Gough v. Wells ... |
Mar. 15, 2019
Jan. 22, 2019 |
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement |
Scott Blair v. UBS Financia... |
May 21, 2016
Apr. 18, 2016 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Lacey Odis Patrick Corbett ... |
Sep. 29, 2012
Aug. 30, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Preliminary Injunction |
Securities and Exchange Com... |
May 14, 2016
Apr. 18, 2016 |
|
|
Securities
Verdict:
$68,732
|
$68,732
|
Tanya Coffeen v. D.A. David... |
Mar. 6, 2020
Sep. 16, 2019 |
|
|
Securities
Expungement |
Expungement Denied | Cynthia Mary Couyoumjian v.... |
Apr. 10, 2020
Feb. 10, 2020 |
|
|
Securities
FINRA Rules |
Expungement | Robert D. Sussin | Michael David Kanigher v. U... |
Feb. 9, 2018
Dec. 8, 2017 |
|
Securities
Securities Fraud
Verdict:
$15,250,000
|
$15,250,000
|
Thomas McKenna, individuall... |
Jun. 29, 2013
May 23, 2013 |
|
|
Securities
Expungement |
Expungement | Philip A. Tymon | John W. Kettmann v. Morgan ... |
Mar. 1, 2019
Dec. 24, 2018 |
|
Securities
Expungement |
Expungement | Allen Frances Schreiber v. ... |
Mar. 20, 2020
Dec. 24, 2019 |
|
|
Securities
Violations of Exchange Act
Verdict:
$8,916,670
|
$8,916,670
|
In re Nuvelo Inc. Securitie... |
May 28, 2011
Apr. 8, 2011 |
|
|
Securities
Expungement |
Expungement | Isidro Z. Miramontes v. Mor... |
Mar. 20, 2020
Nov. 25, 2019 |
|
|
Securities
Expungement |
Expungement | Dean J. Dietrich | Michael Anthony Destro v. W... |
Jan. 5, 2018
Nov. 16, 2017 |
|
Securities
FINRA Rules |
Expungement | Richard J. Stall Jr. | James Edward Chiate v. Merr... |
Feb. 9, 2018
Nov. 22, 2017 |
|
Securities
Professional Malpractice
Verdict:
$12,617
|
$12,617
|
Eileen B. Cohen, Allen A. C... |
Nov. 26, 2011
Nov. 10, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Mid Coast Builders Supply I... |
May 8, 2010
Apr. 16, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Andrew J. Honzel, Beverly J... |
May 8, 2010
Apr. 4, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,050
|
$1,050
|
The Sohaili Trust v. Charle... |
May 8, 2010
Apr. 16, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$27,015
|
$27,015
|
Lynn H. Brahin | Samantha Skorija v. VSR Fin... |
Aug. 25, 2017
Jul. 12, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Gene Gasselle v. Merrill Ly... |
May 8, 2010
Apr. 9, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
$154,687,500
|
$154,687,500
|
Stephen V. Wilson | In Re Snap Inc. Securities ... |
May 1, 2020
Mar. 20, 2020 |
|
Securities
Arbitration
Verdict:
$226,590
|
$226,590
|
Laurie J. Butler | Gertraude Nye v. First Sout... |
Nov. 29, 1997
Jul. 2, 1997 |
|
Securities
Violation of California Securities Law |
Expungement | Howard R. Gaines | Rosemarie McBride v. Wells ... |
Aug. 25, 2017
Jun. 28, 2017 |
|
Securities
Expungement |
Claimant | Jonathan Beukelman, Mark Ge... |
Jan. 10, 2020
Oct. 25, 2019 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Fred Yow, Helen C. Yow and ... |
Apr. 14, 2007
Jan. 19, 2007 |
|
|
Securities
Employment |
Expungement | Jeffrey R. Jury | Kevin Brooks Kugley v. Meri... |
Oct. 6, 2017
Aug. 4, 2017 |
|
Securities
Expungement |
Claimant | Brian J. Rener v. UBS Finan... |
Jan. 10, 2020
Oct. 28, 2019 |
|
|
Securities
Securities Fraud |
Dismissal | Charles R. Breyer | Huei-Ting Kang, individuall... |
Sep. 22, 2023
Apr. 27, 2023 |
|
Securities
Securities Fraud
Verdict:
$240,000,000
|
$240,000,000
|
Jon S. Tigar | In Re Wells Fargo & Company... |
Jun. 28, 2019
May 14, 2019 |