58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Fraud
Verdict:
$173,000,000
|
$173,000,000
|
Securities and Exchange Com... |
May 22, 2010
May 7, 2010 |
|
|
Securities
Securities Fraud
Verdict:
$3,500,000
|
$3,500,000
|
Fred W. Slaughter | Timothy Brady v. Delta Ener... |
Aug. 30, 2024
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement |
Scott Blair v. UBS Financia... |
May 21, 2016
Apr. 18, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$500,000
|
$500,000
|
Securities and Exchange Com... |
Mar. 29, 2014
Mar. 10, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Permanent Injunction |
Securities and Exchange Com... |
Feb. 7, 2015
Aug. 1, 2014 |
|
|
Securities
Securities Exchange Act |
Dismissal | Stanley Blumenfeld Jr. | Ed J. Hershewe, individuall... |
Nov. 11, 2022
Mar. 10, 2022 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Martin Brookes v. Matthew J... |
Sep. 22, 2012
Aug. 30, 2012 |
|
|
Securities
Negligence |
Respondent | Michael A. Carrick, Jeanna ... |
Jun. 19, 2020
Apr. 28, 2020 |
|
|
Securities
Stocks
Verdict:
$329,239
|
$329,239
|
Joan Kushner, Michael Eggim... |
Sep. 22, 2012
Aug. 30, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$1,000,000
|
$1,000,000
|
James V. Selna | Jeffrey N. Schneider,Indivi... |
Jul. 14, 2023
Mar. 2, 2023 |
|
Securities
Securities Fraud
Verdict:
$13,250,000
|
$13,250,000
|
Western Pennsylvania Electr... |
Jun. 14, 2014
Apr. 22, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Preliminary Injunction |
Securities and Exchange Com... |
May 14, 2016
Apr. 18, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$4,525,120
|
$4,525,120
Claimants |
Karen K. Fry and Sally A. B... |
Feb. 7, 2015
Dec. 31, 2014 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Howard Snyder, Karen Snyder... |
Dec. 22, 2012
Nov. 16, 2012 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Justin Paperny v. Damon Dav... |
Dec. 15, 2012
Nov. 20, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
M. C. Otis, individually an... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
William and Ellen Byrns Tru... |
Nov. 2, 2013
Oct. 14, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$129,600,000
|
$129,600,000
|
National Credit Union Admin... |
Oct. 31, 2015
Sep. 15, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Fred Yow, Helen C. Yow and ... |
Apr. 14, 2007
Jan. 19, 2007 |
|
|
Securities
Fraud
Verdict:
$160,000,000
|
$160,000,000
|
In re Brocade Securities Li... |
Jul. 26, 2008
Jun. 2, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$89,389 (attorneys fees) |
Kent E. Wilson, D.D.S., et ... |
Jun. 21, 2008
May 7, 2008 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Seymour Berger and Barbara ... |
Sep. 21, 2013
Sep. 9, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$401,364
|
$401,364
|
Morgan Stanley Smith Barney... |
Feb. 9, 2013
Jan. 29, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Alex Binai v. Royal Allianc... |
Aug. 3, 2013
Jul. 23, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
$8,500,000
|
$8,500,000
|
Robert Curry v. Hansen Medi... |
Aug. 10, 2013
Jul. 25, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$8,011,530
|
$8,011,530
|
Amit Gupta v. Morgan Stanle... |
Sep. 21, 2013
Aug. 29, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Georgia Alexander v. Citigr... |
Dec. 14, 2013
Apr. 10, 2013 |
|
|
Securities
Securities Exchange Act |
Dismissal | Haywood S. Gilliam Jr. | In re Nektar Therapeutics S... |
Jan. 22, 2021
Dec. 30, 2020 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Jack F. Immel, individually... |
Jan. 14, 2012
Dec. 17, 2011 |
|
|
Securities
Unfair Business Practices
Verdict:
-$1
|
-$1
Non-Prosecution Agreement |
U.S. Securities and Exchang... |
May 11, 2013
Apr. 19, 2013 |