58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Duty
Verdict:
-$1
|
-$1
Defense |
Linden Pasadena Properties,... |
Jan. 8, 2011
Dec. 2, 2010 |
|
|
Securities
NASD
Verdict:
$9,500
|
$9,500
|
Wells Fargo Investments, LL... |
Dec. 2, 2006
May 1, 2006 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
William T. Hampton, individ... |
Jan. 23, 2016
Nov. 2, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Levi Nagel v. UBS Financial... |
Jun. 27, 2015
Apr. 27, 2015 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Arlene Spitzer v. Morgan St... |
Dec. 23, 2006
May 15, 2006 |
|
|
Securities
NASD
Verdict:
$272,624
|
$272,624
|
Abel C. Crespo and Eva A. C... |
Dec. 16, 2006
May 9, 2006 |
|
|
Securities
Violation of the Securities Act
Verdict:
$1,700,000
|
$1,700,000
|
Securities and Exchange Com... |
Jun. 29, 2013
Jun. 7, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$60,000
|
$60,000
|
Jeanne Van Order v. Securit... |
Jan. 27, 2007
Nov. 10, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$41,251
|
$41,251
|
Mary Nassimi v. Brookstreet... |
Feb. 3, 2007
Nov. 7, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,218,220
|
$1,218,220
|
Narramore Christian Foundat... |
Mar. 24, 2007
Nov. 27, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$750,000
|
$750,000
|
Stanley G. Kazezski, Lillia... |
Jun. 18, 2011
May 5, 2011 |
|
|
Securities
Breach of Promissory Note
Verdict:
-$1
|
-$1
Mixed Result |
Piper Jaffray & Co. v. Lawr... |
Mar. 31, 2007
Nov. 3, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kimon P. Daifotis v. Jinni ... |
Jun. 18, 2011
May 6, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Kline Enterprises Inc. v. S... |
Feb. 4, 2012
Jan. 6, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
John S. Surinchak and Linda... |
Jan. 27, 2007
Nov. 3, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bank of Nevada v. UBS Finan... |
Mar. 16, 2013
Mar. 5, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
David Parri v. Wells Fargo ... |
Jan. 15, 2011
Dec. 15, 2010 |
|
|
Securities
Securities Fraud |
Defense | Edward M. Chen | Mark Habelt, et al. v. iRhy... |
Oct. 7, 2022
Mar. 8, 2022 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Mixed |
Bill John Callis v. Banc of... |
Mar. 17, 2012
Feb. 14, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Scott B. Teter v. UBS Finan... |
Mar. 16, 2013
Mar. 4, 2013 |
|
|
Securities
Securities Exchange Act |
Dismissal | Stanley Blumenfeld Jr. | Ed J. Hershewe, individuall... |
Nov. 11, 2022
Mar. 10, 2022 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. a... |
Mar. 16, 2013
Feb. 26, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Respondent | John K. Hart | Kosti Shirvanian and Marian... |
Dec. 22, 2017
Oct. 27, 2017 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In re Infineon Technologies... |
May 7, 2011
Mar. 17, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Corinne DeGiorgio Fond v. M... |
Jun. 27, 2015
Apr. 27, 2015 |
|
|
Securities
Verdict:
$1,500,000
|
$1,500,000
|
The Commissioner of Financi... |
Aug. 30, 2024
Dec. 21, 2023 |
|
|
Securities
Violations of Exchange Act
Verdict:
$67,500,000
|
$67,500,000
|
City of Livonia Employees' ... |
Dec. 29, 2012
Nov. 19, 2012 |
|
|
Securities
Fraud
Verdict:
$4,023,950
|
$4,023,950
|
U.S. Securities and Exchang... |
Nov. 1, 2008
Jan. 29, 2008 |
|
|
Securities
Breach of Contract
Verdict:
$607,568
|
$607,568
|
UBS Financial Services Inc.... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$62,073
|
$62,073
|
Merrill Lynch, Pierce, Fenn... |
Mar. 9, 2013
Feb. 12, 2013 |