58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Exchange Act |
Non-monetary relief | George H. Wu | Richard Moore, derivatively... |
Aug. 12, 2022
Apr. 29, 2021 |
|
Securities
Fraud Class Action
Verdict:
$88,000,000
|
$88,000,000
|
Helen Frye | In Re Melridge Securities L... |
Jun. 29, 1993
May 26, 1993 |
|
Securities
Securities Fraud
Verdict:
$1,000,000
|
$1,000,000
|
James V. Selna | Jeffrey N. Schneider,Indivi... |
Jul. 14, 2023
Mar. 2, 2023 |
|
Securities
Securities Fraud |
DeAnnah L. Thomas, Richard ... |
Apr. 10, 2020
Feb. 20, 2020 |
||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles W. Ott, as Trustee ... |
May 7, 2011
Mar. 31, 2011 |
|
|
Securities
Securities Exchange Act |
Defense | Todd W. Robinson | In re: Anaptysbio Inc. Secu... |
Jan. 13, 2023
Nov. 30, 2021 |
|
Securities
Unfair Business Practices
Verdict:
-$1
|
-$1
Defense |
Overstock.com Inc., a Delaw... |
Feb. 11, 2012
Jan. 12, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Estate of Chaille M. Love, ... |
Jan. 16, 2010
Dec. 14, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
In Re: Diamond Foods Inc. D... |
Jun. 16, 2012
May 29, 2012 |
|
|
Securities
Expungement |
Claimant | David Anthony Pickler v. UB... |
Feb. 14, 2020
Dec. 6, 2019 |
|
|
Securities
Commodities
Verdict:
$3,000,000
|
$3,000,000
|
Securities and Exchange Com... |
Apr. 30, 2011
Mar. 22, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Alaris F. Thorns IRA Rollov... |
Aug. 31, 2013
Aug. 14, 2013 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Bryan Silagy v. Woodbury Fi... |
Dec. 16, 2006
Aug. 11, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
In re Bridgepoint Education... |
Nov. 15, 2014
Oct. 17, 2014 |
|
|
Securities
Expungement |
Expungement | Philip A. Tymon | Sonny Hamesh Gulati v. UBS ... |
Feb. 1, 2019
Dec. 3, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,176,000
|
$1,176,000
|
Barbara M. Anscher | Michael Gerard Rom v. Phili... |
Feb. 2, 2018
Nov. 22, 2017 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Rodolfo C. and Maria O. Del... |
Mar. 21, 2015
Feb. 19, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$118,900,000
|
$118,900,000
|
Securities And Exchange Com... |
Feb. 5, 2011
Jan. 11, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Robert R. Banks, Robert R. ... |
Oct. 22, 2011
Jul. 22, 2011 |
|
|
Securities
Expungement |
Expungement | Morris S. Getzels | Jeffrey Aaron Horn v. RBC C... |
Sep. 1, 2017
Jun. 1, 2017 |
|
Securities
Breach of Contract |
Dismissal | David L. Moore IRA, David L... |
Jul. 17, 2020
May 22, 2020 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement denied |
Steven J. Jensen, Nancy Jen... |
Nov. 28, 2015
Nov. 2, 2015 |
|
|
Securities
Violation of California Securities Law |
Expungement | Marc Kalish | Edith Seely, individually, ... |
Jan. 12, 2018
Jun. 21, 2017 |
|
Securities
Violations of Exchange Act
Verdict:
$2,500,000
|
$2,500,000
|
Securities and Exchange Com... |
Nov. 5, 2011
Aug. 5, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$177,792
|
$177,792
|
Karen E. Rey v. Wedbush Sec... |
May 7, 2011
Mar. 25, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ellen Gache and EBG Investm... |
Jul. 13, 2013
Jun. 27, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$12,500,000
|
$12,500,000
|
Fernando M. Olguin | Cory Longo, individually an... |
Feb. 25, 2022
Oct. 22, 2021 |
|
Securities
Violations of Exchange Act
Verdict:
$3,000,000
|
$3,000,000
|
Roger Wheeler and Paul Whee... |
Jun. 25, 2011
Mar. 25, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Department of Enforcement v... |
Mar. 23, 2013
Feb. 21, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$361,017
|
$361,017
|
Lehman Brothers Holdings In... |
Nov. 3, 2012
Sep. 28, 2012 |