58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Promissory Note
Verdict:
$210,532
|
$210,532
|
Confidential |
Apr. 14, 2007
Jan. 17, 2007 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Lyn Freeman, individually a... |
Mar. 25, 2017
Jan. 25, 2017 |
|
|
Securities
Securities Exchange Act |
Expungement | Janice L. Sperow | John Coughlin v. Stifel, Ni... |
Jan. 11, 2019
Oct. 17, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claimants |
Friedman, et al. v. Brewste... |
Feb. 12, 2011
Jan. 7, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$300,000
|
$300,000
|
Trina L. Thompson | Securities and Exchange Com... |
Sep. 4, 2025
Jun. 10, 2025 |
|
Securities
NASD
Verdict:
$50,000
|
$50,000
|
John P. and Ana Jahn, Trust... |
Nov. 11, 2006
Jan. 23, 2006 |
|
|
Securities
Commodities
Verdict:
-$1
|
-$1
Dismissal |
Western and Southern Life I... |
Sep. 1, 2012
Jun. 29, 2012 |
|
|
Securities
Verdict:
$68,732
|
$68,732
|
Tanya Coffeen v. D.A. David... |
Mar. 6, 2020
Sep. 16, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$67,869
|
$67,869
|
Nancy J. Edmunds | Scott J. Tepper, as trustee... |
Jun. 7, 2019
Apr. 3, 2019 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Respondent |
Harvey Jasny v. Morgan Stan... |
Apr. 28, 2007
Jan. 24, 2007 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Daniel L. Cohen, Daniel L. ... |
Sep. 13, 2014
Aug. 19, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
In Re: Wells Fargo Mortgage... |
Sep. 10, 2011
Apr. 22, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Laura J. Bogolin, Roy Lee H... |
Jan. 14, 2012
Dec. 13, 2011 |
|
|
Securities
Expungement |
Expungement Denied | Cynthia Mary Couyoumjian v.... |
Apr. 10, 2020
Feb. 10, 2020 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,100,000
|
$1,100,000
|
Fernando M. Olguin | Arthur Kaye IRA FCC as Cust... |
Jan. 11, 2019
Dec. 10, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Ken Sirls v. Wachovia Secur... |
Apr. 10, 2010
Mar. 1, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$506,497
|
$506,497
|
Wedbush Securities Inc. v. ... |
Nov. 6, 2014
Oct. 4, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$775,000
|
$775,000
|
Christina A. Snyder | Ashkan Farazmand, derivativ... |
Jan. 10, 2025
Oct. 30, 2024 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ilyse Fern Klavir v. Banc o... |
Nov. 6, 2010
Oct. 13, 2010 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert E. Jenks Jr. | Frank Meyers, individually;... |
Jan. 11, 2019
Oct. 4, 2018 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$350,000
|
$350,000
|
Joseph Simas, JoAnne Simas ... |
Jun. 26, 2010
Jun. 1, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In Re Apple Reits Litigation |
May 4, 2013
Apr. 3, 2013 |
|
|
Securities
Securities Exchange Act |
Dismissal | Gonzalo P. Curiel | LifeVoxel Virginia SPV LLC;... |
May 30, 2025
Dec. 31, 2024 |
|
Securities
Breach of Fiduciary Duty |
Expungement | Robert Rosen | Jason Hallmark v. John Davi... |
Aug. 25, 2017
Jul. 14, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$70,000,000
|
$70,000,000
|
William H. Alsup | SEB Investment Management A... |
Oct. 29, 2021
Oct. 7, 2021 |
|
Securities
Breach of Promissory Note
Verdict:
$439,507
|
$439,507
|
Wells Fargo Advisors LLC f/... |
May 18, 2013
May 2, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Michael J. Harrison | Randall H. Moses v. Pruco S... |
Aug. 25, 2017
Jul. 6, 2017 |
|
Securities
Securities Fraud
Verdict:
$129,600,000
|
$129,600,000
|
National Credit Union Admin... |
Oct. 31, 2015
Sep. 15, 2015 |
|
|
Securities
Breach of Contract |
Respondent | Walter S. Schwartz | William James Lane v. Farme... |
Oct. 6, 2017
Jul. 27, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Richman Bry Jr. v. Kevin Ja... |
Nov. 3, 2012
Oct. 4, 2012 |