58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Michael Shinkle v. Oak Tree... |
Dec. 9, 2006
Aug. 22, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$90,474
|
$90,474
|
Charles Schwab & Co., Inc. ... |
Apr. 14, 2007
Jul. 28, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Kenneth A. Kinko | Gerald Montiel v. Newbridge... |
Dec. 9, 2006
Aug. 3, 2006 |
|
Securities
Securities Fraud
Verdict:
$19,000,000
|
$19,000,000
|
Phyllis J. Hamilton | Viswanath V. Shankar, indiv... |
Mar. 2, 2018
Oct. 11, 2017 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ferdinand Schoch | Lanek Limited, Kevin McCurd... |
Dec. 9, 2006
Jul. 31, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Matthew Lam v. Charles Schw... |
Apr. 2, 2011
Mar. 14, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
James Elist, Emil Halimi, G... |
Nov. 20, 2010
Oct. 21, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Timothy Tutko v. Wendy Adai... |
Jan. 12, 2013
Dec. 20, 2012 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Bob T. Hall and Mariah G. H... |
Nov. 18, 2006
Sep. 25, 2006 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Alan Fenster, A Professiona... |
Apr. 2, 2011
Mar. 12, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Darrell Lake, Executor for ... |
Nov. 18, 2006
Sep. 14, 2006 |
|
|
Securities
Expungement |
Claimant | Michael Lancaster Garcia | Mark Clifford Richmond v. L... |
Dec. 27, 2019
Oct. 11, 2019 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Kevin T. Knox, Noe Barocio,... |
Jun. 11, 2016
May 10, 2016 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Robert Paul v. Peter Shieh ... |
Nov. 18, 2006
Sep. 7, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Juliet Baruch v. Citigroup ... |
Jan. 8, 2011
Dec. 9, 2010 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Paul F. Faberman | Darlene Darata v. McClurg C... |
Dec. 9, 2006
Sep. 27, 2006 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,460,000
|
$1,460,000
|
Horace Grant v. Morgan Keeg... |
Oct. 24, 2009
Sep. 11, 2009 |
|
|
Securities
Expungement |
Expungement | Barbara M. Zak | Antoine Nabih Souma v. UBS ... |
Apr. 19, 2019
Feb. 4, 2019 |
|
Securities
Fraud
Verdict:
$751,000
|
$751,000
|
Dzintra Janavs | Richard Crowther v. Richard... |
Oct. 31, 1998
Jul. 31, 1998 |
|
Securities
|
Claimant | Al Zvinakis as Holder of FP... |
Jan. 3, 2020
Oct. 18, 2019 |
|
|
Securities
Securities Exchange Act |
Dismissal | Beth L. Freeman | Gregory A. Hurst, individua... |
Dec. 30, 2022
Oct. 18, 2021 |
|
Securities
Securities Exchange Act |
Defense | Beth L. Freeman | Neil Costanzo, individually... |
Dec. 23, 2022
Dec. 14, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$218,881.86 attorney fees and costs awarded to respondent Kristian Colvin |
Charles Schwab & Co. Inc. v... |
Nov. 20, 2010
Oct. 20, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,000
|
$80,000
|
Securities and Exchange Com... |
Nov. 20, 2010
Oct. 22, 2010 |
|
|
Securities
Breach of Contract |
Respondent | Marilyn R. Lewis | Rosalie D. Everson, John E.... |
Feb. 1, 2019
Dec. 12, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$14,171
|
$14,171
|
Poppie Phillips, individual... |
Jan. 15, 2011
Dec. 8, 2010 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Maine State Retirement Syst... |
Dec. 18, 2010
Nov. 4, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
$1,030,545 (for Shemano Group) |
The Shemano Group Inc. (Cla... |
Oct. 27, 2007
Jul. 5, 2007 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$16,500,000
|
$16,500,000
|
In re Apple Inc. Securities... |
Jan. 22, 2011
Nov. 22, 2010 |
|
|
Securities
Securities Exchange Act |
Defense | Haywood S. Gilliam Jr. | Bioscience Advisors Inc. v.... |
Apr. 28, 2023
Jan. 11, 2023 |