58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Employment
Verdict:
-$1
|
-$1
$411,624 to Respondent |
Charles Tom Lawson v. Morga... |
May 17, 2014
Apr. 21, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$30,000
|
$30,000
|
John Anthony Meadows, indiv... |
Sep. 20, 2014
Jul. 18, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$7,000,000
|
$7,000,000
|
Susan L. Greenberg | In re: Tintri Inc. Securiti... |
Dec. 20, 2024
Jan. 11, 2024 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Heather Carter Molin v. Pat... |
May 4, 2013
Apr. 19, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$50,000
|
$50,000
|
Deanna Lynn Buchholz v. Cam... |
May 24, 2014
Apr. 28, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$813,808
|
$813,808
|
Philip S. Gutierrez | Securities and Exchange Com... |
Jan. 8, 2021
Nov. 19, 2020 |
|
Securities
Securities Fraud
Verdict:
$62,027
|
$62,027
|
Securities and Exchange Com... |
Mar. 7, 2015
Jan. 5, 2015 |
|
|
Securities
Expungement |
Expungement Denied | Herbert A. Schwartz | Kevin Thomas Moran v. Ameri... |
Mar. 1, 2019
Jan. 9, 2019 |
|
Securities
Expungement |
Expungement | Michael Harrison | Simon Matthew Holford v. Me... |
Apr. 5, 2019
Feb. 12, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Tribank Capital Investments... |
Oct. 8, 2011
Jul. 18, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$26,500,000
|
$26,500,000
|
Securities and Exchange Com... |
Feb. 27, 2016
Feb. 1, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
OC Partners Inc. v. RBC Dai... |
May 12, 2012
Oct. 6, 2011 |
|
|
Securities
Fraud
Verdict:
$1,182,840
|
$1,182,840
|
Consuelo B. Marshall | Thomas E. Snooks v. SRS Tec... |
Feb. 4, 1995
Oct. 24, 1994 |
|
Securities
Securities Fraud
Verdict:
$3,150,000
|
$3,150,000
|
Ramon Gomez, on behalf of h... |
Mar. 30, 2013
Feb. 21, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
William Erickson v. Joe Rex... |
Apr. 17, 2010
Mar. 22, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$850,000
|
$850,000
|
Securities And Exchange Com... |
Mar. 30, 2013
Feb. 27, 2013 |
|
|
Securities
Securities Fraud |
Defense | Roger T. Benitez | Craig M. Plumley, individua... |
Sep. 1, 2017
Jun. 20, 2017 |
|
Securities
Fraud
Verdict:
$3,393,180
|
$3,393,180
|
Securities and Exchange Com... |
May 14, 2011
Aug. 12, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$252,455
|
$252,455
|
Securities and Exchange Com... |
Oct. 15, 2016
Sep. 23, 2016 |
|
|
Securities
Breach of Contract
Verdict:
$321,933
|
$321,933
|
Citigroup Global Markets In... |
Jun. 18, 2011
May 5, 2011 |
|
|
Securities
Unauthorized Transfer
Verdict:
$212,000
|
$212,000
|
Sally G. Williams | Hazel Kitzman, individually... |
Sep. 29, 2017
Sep. 8, 2017 |
|
Securities
Violations of Exchange Act
Verdict:
$2,500,000
|
$2,500,000
|
Securities and Exchange Com... |
Nov. 5, 2011
Aug. 5, 2011 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Denial |
Kevin Joseph Schaefer v. UB... |
Oct. 1, 2011
Jul. 14, 2011 |
|
|
Securities
Expungement |
Confirmed | Richard B. Ulmer Jr. | Justin Timothy Bailey v. We... |
Jan. 24, 2025
Jul. 2, 2024 |
|
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | New York Hotel Trades Counc... |
Oct. 4, 2019
Aug. 12, 2019 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Frank Charles Miller v. Wel... |
Sep. 7, 2013
Aug. 20, 2013 |
|
|
Securities
Fraud
Verdict:
$690,000
|
$690,000
|
David A. Thompson | Roland Graves, Hermann Hege... |
Nov. 19, 2005
Feb. 4, 2005 |
|
Securities
Expungement |
Claimant | Michael Lancaster Garcia | Mark Clifford Richmond v. L... |
Dec. 27, 2019
Oct. 11, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kimon P. Daifotis v. Jinni ... |
Jun. 18, 2011
May 6, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$5,088,400
|
$5,088,400
|
Harwich East Plaza LLC v. V... |
Jun. 15, 2013
Jun. 4, 2013 |