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58204 Rulings

Topic Case Name Published / Result

Securities

Securities
Breach of Contract
Verdict: -$1
Martha L. Meripol IRA, Rona... Sep. 20, 2014
    Aug. 28, 2014
Securities
Securities Fraud
Verdict: $16,787,028
Federal Trade Commission v.... Jul. 25, 2025
    May 6, 2025
Securities
Breach of Contract
Verdict: $120,250
Melvin Dias, Evelyn Dias v.... Sep. 24, 2011
    Jul. 11, 2011
Securities
Breach of Contract
Verdict: $883,334
Jefferies LLC v. Jerald Ebe... Apr. 10, 2020
    Feb. 20, 2020
Securities
Breach of Fiduciary Duty
Linda Manderino, in her Cap... Jan. 18, 2019
    Sep. 14, 2018
Securities
Breach of Contract
Verdict: $296,981
UBS Financial Services Inc.... Jul. 23, 2011
    May 27, 2011
Securities
Breach of Contract
Verdict: $385,000
Philip Harper and Amanda Ha... Mar. 1, 2019
    Jan. 3, 2019
Securities
Violations of Exchange Act
Verdict: -$1
Cement Masons & Plasterers ... Jul. 20, 2013
    Jun. 12, 2013
Securities
Breach of Fiduciary Duty
Verdict: -$1
Jerry Mote v. First Allied ... Oct. 4, 2008
    Jul. 15, 2008
Securities
Expungement
Donald Bradford Crane v. Ce... Apr. 10, 2020
    Feb. 28, 2020
Securities
Breach of Fiduciary Duty
Verdict: $66,800
Thomas E. Turk, Thomas E. T... Mar. 21, 2009
    Feb. 2, 2009
Securities
Securities Fraud
Verdict: $129,600,000
National Credit Union Admin... Oct. 31, 2015
    Sep. 15, 2015
Securities
Breach of Fiduciary Duty
Verdict: -$1
Robert J. Bridge v. Merrill... Dec. 31, 2010
    Dec. 2, 2010
Securities
Breach of Contract
Trenchant Funds USA LLC v. ... Apr. 12, 2019
    Feb. 19, 2019
Securities
Breach of Contract
Verdict: $8,011,530
Amit Gupta v. Morgan Stanle... Sep. 21, 2013
    Aug. 29, 2013
Securities
Expungement
Verdict: -$1
Charles Schwab & Co. Inc. a... Mar. 16, 2013
    Feb. 26, 2013
Securities
Securities Fraud
Verdict: $32,500,000
Massachusetts Bricklayers a... May 19, 2012
    Apr. 24, 2012
Securities
Expungement
Frank Feipang Auyeung v. Ba... May 24, 2019
    Apr. 10, 2019
Securities
NASD
Verdict: -$1
Patrick J. Schachle v. Merr... Dec. 9, 2006
    Aug. 15, 2006
Securities
Breach of Fiduciary Duty
Verdict: -$1
Wilson Humphries Jr., Carol... Nov. 1, 2014
    Oct. 3, 2014
Securities
Stocks
Verdict: -$1
Greenlight Capital LP et al... Mar. 9, 2013
    Feb. 22, 2013
Securities
Breach of Fiduciary Duty
Verdict: -$1
Alliance Semiconductor Corp... Nov. 26, 2011
    Nov. 5, 2011
Securities
Breach of Contract
Verdict: $170,376
Confidential Jan. 11, 1997
    Dec. 5, 1996
Securities
Breach of Fiduciary Duty
Verdict: $1,726,880
Thomas Brookhouzen, Hugh Da... Jul. 3, 2010
    May 27, 2010
Securities
Breach of Fiduciary Duty
Verdict: $750,000
Stanley G. Kazezski, Lillia... Jun. 18, 2011
    May 5, 2011
Securities
Breach of Fiduciary Duty
Verdict: -$1
Kimon P. Daifotis v. Jinni ... Jun. 18, 2011
    May 6, 2011
Securities
Securities Fraud
Verdict: $21,200,000
Plumbers' Union Local No. 1... Feb. 8, 2014
    Dec. 19, 2013
Securities
Securities Fraud
Verdict: -$1
Charles Paddock, individual... May 16, 2015
    Apr. 1, 2015
Securities
Breach of Fiduciary Duty
Verdict: -$1
Sergio Gavaldon, Angelica G... Dec. 29, 2012
    Nov. 28, 2012
Securities
Breach of Fiduciary Duty
Verdict: -$1
Flaherty & Crumrine Preferr... Aug. 28, 2010
    Jun. 23, 2010