58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Darrell Lake, Executor for ... |
Nov. 18, 2006
Sep. 14, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
Bob T. Hall and Mariah G. H... |
Nov. 18, 2006
Sep. 25, 2006 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Ferdinand Schoch | Lanek Limited, Kevin McCurd... |
Dec. 9, 2006
Jul. 31, 2006 |
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Kenneth A. Kinko | Gerald Montiel v. Newbridge... |
Dec. 9, 2006
Aug. 3, 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
Respondent. |
Michael Shinkle v. Oak Tree... |
Dec. 9, 2006
Aug. 22, 2006 |
|
|
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
Respondent |
Robert C. Kraynak, Robert C... |
May 2, 2015
Mar. 24, 2015 |
|
|
Securities
Breach of Contract |
Respondent | Guenter S. Cohn | Catherine Grace Bruno v. UB... |
Jan. 12, 2018
Aug. 2, 2017 |
|
Securities
Breach of Contract
Verdict:
$100,000
|
$100,000
|
Anthony Cowan, Jennifer Cow... |
Jun. 28, 2014
Jun. 6, 2014 |
|
|
Securities
Suitability |
Expungement | Kendall C. Reed | Jay Goldner and Denise Gold... |
Jun. 21, 2019
May 6, 2019 |
|
Securities
NASD
Verdict:
$51,446
|
$51,446
|
John J. George | Kelli Jones v. Salomon Smit... |
Dec. 23, 2006
May 2, 2006 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Randall Larry Krenzin v. We... |
May 2, 2015
Mar. 27, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$200,000
|
$200,000
|
Stephen V. Wilson | Securities and Exchange Com... |
Jan. 26, 2018
Dec. 22, 2017 |
|
Securities
False Claims Act
Verdict:
$150,000,000
|
$150,000,000
|
Anne-Christine T. Massullo | People of the State of Cali... |
Jun. 28, 2019
Apr. 24, 2019 |
|
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
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement Denied |
Arthur A. Torrellas, First ... |
Aug. 20, 2016
May 12, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,500,000
|
$1,500,000
|
Patricia Tynan Chapman, ind... |
Dec. 31, 2010
Nov. 29, 2010 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Corinne DeGiorgio Fond v. M... |
Jun. 27, 2015
Apr. 27, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$542,121
|
$542,121
|
Josephine L. Staton | Securities and Exchange Com... |
Jan. 17, 2025
Sep. 12, 2024 |
|
Securities
Expungement |
Expungement | Jimmy J. Suh v. Merrill Lyn... |
May 31, 2019
Apr. 17, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Richman Bry Jr. v. Kevin Ja... |
Nov. 3, 2012
Oct. 4, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Defense |
Scott Singleton v. E-Trade ... |
Oct. 31, 2015
Aug. 28, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles Liotta Trust dated ... |
Jul. 12, 2014
Jun. 24, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Permanent Injunction |
United States Securities an... |
Jan. 24, 2015
Apr. 24, 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:
-$1
|
-$1
Plaintiffs |
In re James Donzil Roberts ... |
Oct. 24, 2015
Sep. 9, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$2,462,900,000
|
$2,462,900,000
|
Lawrence E. Jaffe Pension P... |
Nov. 9, 2013
Oct. 17, 2013 |