58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Herbert Liberman | Young M. Chung v. Merrill L... |
Dec. 28, 2018
Sep. 26, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Robert C. Kraynak, Robert C... |
May 2, 2015
Mar. 24, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$1,550,000
|
$1,550,000
|
Michele Schultz, individual... |
Mar. 20, 2020
Dec. 20, 2019 |
|
|
Securities
Expungement |
Expungement | Martin M. Van Luven | Stephen Gerard Rossi Sr. v.... |
Dec. 15, 2017
Nov. 1, 2017 |
|
Securities
Unsuitability |
Dismissal | G.E. Craig Doupe | Dwight Jay Hansen IRA, Dwig... |
Feb. 2, 2018
Dec. 19, 2017 |
|
Securities
Expungement |
Expungement | Merton E. Marks | Jason Andres Zilveti v. UBS... |
Dec. 14, 2018
Nov. 21, 2018 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Herbert Liberman | Joan Haevernick v. Merrill ... |
Aug. 25, 2017
Jun. 28, 2017 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Randall Larry Krenzin v. We... |
May 2, 2015
Mar. 27, 2015 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Defense |
Joseph J. Bahuth, Angele Ba... |
Mar. 26, 2011
Feb. 18, 2011 |
|
|
Securities
Expungement |
Expungement | Ronald Louis Valpey v. Merr... |
May 24, 2019
Apr. 11, 2019 |
|
|
Securities
Breach of Duty
Verdict:
$800,000
|
$800,000
|
Allen Paulson Living Trust ... |
Jun. 20, 2009
Feb. 25, 2009 |
|
|
Securities
Securities Exchange Act
Verdict:
$640,000
|
$640,000
|
George H. Wu | Scott C. Hartman, individua... |
Aug. 12, 2022
Feb. 18, 2021 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Thomas Edwin Logan v. Linco... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
Breach of Promissory Note
Verdict:
$637,500
|
$637,500
|
Raymond J. Ikola | Confidential |
Jun. 24, 2000
Apr. 10, 2000 |
|
Securities
Breach of Contract |
Expungement | Kirtley M. Thiesmeyer | Charles Schwab & Co. Inc. v... |
Jan. 12, 2018
Jun. 19, 2017 |
|
Securities
Negligence
Verdict:
$6,932
|
$6,932
|
Steven A. Brick | Persall v. Northwestern |
Jan. 18, 1997
Oct. 1, 1996 |
|
Securities
Breach of Duty
Verdict:
$1,653,970
|
$1,653,970
|
John Erickson v. Edwin Torres |
Nov. 10, 2007
Aug. 23, 2007 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Jeffrey Colflesh, et al. v.... |
Aug. 4, 2012
Jun. 28, 2012 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Stanley Levine, Charles Bri... |
Jun. 21, 2014
Jun. 11, 2013 |
|
|
Securities
Breach of Contract |
Respondents | R.S.S. McKosky, Tatyana McK... |
Jul. 31, 2020
Jun. 10, 2020 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Rick Cooper v. Richard Anth... |
Jun. 21, 2014
Jun. 4, 2014 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In Re Finisar Corporation S... |
Feb. 9, 2013
Jan. 16, 2013 |
|
|
Securities
Expungement |
Expungement | Stephen H. Marcus | Pablo Raul Vaquera v. Natio... |
Jun. 21, 2019
May 6, 2019 |
|
Securities
Professional Malpractice
Verdict:
-$1
|
-$1
Expungement |
Norma J. Byer v. Morgan Sta... |
Apr. 20, 2013
Apr. 3, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Maged T. Ebrahim v. E-Trade... |
Aug. 13, 2016
Apr. 20, 2016 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Joseph Sanberg v. Fidelity ... |
Aug. 20, 2016
May 26, 2016 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Marc C. Seward v. Securitie... |
Aug. 20, 2016
May 24, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$783,287
|
$783,287
|
Charles Michaels | Chad W. Whitmore and Susan ... |
Dec. 14, 2018
Nov. 20, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement Denied |
Arthur A. Torrellas, First ... |
Aug. 20, 2016
May 12, 2016 |
|
|
Securities
Breach of Contract
Verdict:
$36,569
|
$36,569
|
Mark C. Perry | ODS Capital LLC v. Wedbush ... |
Feb. 1, 2019
Nov. 29, 2018 |