58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Martha L. Meripol IRA, Rona... |
Sep. 20, 2014
Aug. 28, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$16,787,028
|
$16,787,028
|
Christina A. Snyder | Federal Trade Commission v.... |
Jul. 25, 2025
May 6, 2025 |
|
Securities
Breach of Contract
Verdict:
$120,250
|
$120,250
|
Melvin Dias, Evelyn Dias v.... |
Sep. 24, 2011
Jul. 11, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$883,334
|
$883,334
|
Jefferies LLC v. Jerald Ebe... |
Apr. 10, 2020
Feb. 20, 2020 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Donald N. Tolin | Linda Manderino, in her Cap... |
Jan. 18, 2019
Sep. 14, 2018 |
|
Securities
Breach of Contract
Verdict:
$296,981
|
$296,981
|
UBS Financial Services Inc.... |
Jul. 23, 2011
May 27, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$385,000
|
$385,000
|
Paul E. Dahlman | Philip Harper and Amanda Ha... |
Mar. 1, 2019
Jan. 3, 2019 |
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Cement Masons & Plasterers ... |
Jul. 20, 2013
Jun. 12, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Jerry Mote v. First Allied ... |
Oct. 4, 2008
Jul. 15, 2008 |
|
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Donald Bradford Crane v. Ce... |
Apr. 10, 2020
Feb. 28, 2020 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$66,800
|
$66,800
|
Thomas E. Turk, Thomas E. T... |
Mar. 21, 2009
Feb. 2, 2009 |
|
|
Securities
Securities Fraud
Verdict:
$129,600,000
|
$129,600,000
|
National Credit Union Admin... |
Oct. 31, 2015
Sep. 15, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$32,247 compensatory, $30,000 attorney fees, $6,000 expert witness fees, and $14,400 FINRA hearing session fees |
Robert J. Bridge v. Merrill... |
Dec. 31, 2010
Dec. 2, 2010 |
|
|
Securities
Breach of Contract |
Respondent | Roger B. Jacobs | Trenchant Funds USA LLC v. ... |
Apr. 12, 2019
Feb. 19, 2019 |
|
Securities
Breach of Contract
Verdict:
$8,011,530
|
$8,011,530
|
Amit Gupta v. Morgan Stanle... |
Sep. 21, 2013
Aug. 29, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. a... |
Mar. 16, 2013
Feb. 26, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$32,500,000
|
$32,500,000
|
Massachusetts Bricklayers a... |
May 19, 2012
Apr. 24, 2012 |
|
|
Securities
Expungement |
Expungement | Frank Feipang Auyeung v. Ba... |
May 24, 2019
Apr. 10, 2019 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ronald L. Gershon | Patrick J. Schachle v. Merr... |
Dec. 9, 2006
Aug. 15, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Wilson Humphries Jr., Carol... |
Nov. 1, 2014
Oct. 3, 2014 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Preliminary Injunction Granted |
Greenlight Capital LP et al... |
Mar. 9, 2013
Feb. 22, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Alliance Semiconductor Corp... |
Nov. 26, 2011
Nov. 5, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$170,376
|
$170,376
|
Roger Verhage | Confidential |
Jan. 11, 1997
Dec. 5, 1996 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,726,880
|
$1,726,880
|
Thomas Brookhouzen, Hugh Da... |
Jul. 3, 2010
May 27, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$750,000
|
$750,000
|
Stanley G. Kazezski, Lillia... |
Jun. 18, 2011
May 5, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kimon P. Daifotis v. Jinni ... |
Jun. 18, 2011
May 6, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$21,200,000
|
$21,200,000
|
Plumbers' Union Local No. 1... |
Feb. 8, 2014
Dec. 19, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Charles Paddock, individual... |
May 16, 2015
Apr. 1, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Sergio Gavaldon, Angelica G... |
Dec. 29, 2012
Nov. 28, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Flaherty & Crumrine Preferr... |
Aug. 28, 2010
Jun. 23, 2010 |