58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$125,000
|
$125,000
|
Robert D. Sussin | Overview Productions Inc. v... |
Nov. 10, 2017
Sep. 11, 2017 |
|
Securities
Expungement |
Claimant | Michael Lancaster Garcia | Mark Clifford Richmond v. L... |
Dec. 27, 2019
Oct. 11, 2019 |
|
Securities
Employment |
Expungement Denied | Brett W. Olander | Jeffrey David Thoele v. Wal... |
Jan. 12, 2018
Aug. 25, 2017 |
|
Securities
Arbitration
Verdict:
$226,590
|
$226,590
|
Laurie J. Butler | Gertraude Nye v. First Sout... |
Nov. 29, 1997
Jul. 2, 1997 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Karl Austin Pettijohn v. UB... |
Nov. 12, 2016
Oct. 7, 2016 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal with Leave to Amend |
Cement & Concrete Workers D... |
Aug. 24, 2013
Aug. 9, 2013 |
|
|
Securities
Violation of the Securities Act
Verdict:
$2,125,000
|
$2,125,000
|
Zachary Lewy, Sampson Daruv... |
Aug. 31, 2013
Aug. 5, 2013 |
|
|
Securities
Employment |
Expungement | Brian J. Gallagher | Paul Scott Selvin v. Merril... |
Jan. 12, 2018
Aug. 17, 2017 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal; Equitable Agreement |
Patrick J. Rohan Trust, et ... |
Feb. 5, 2011
Jan. 7, 2011 |
|
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Jason Kenneth Diaz v. Golde... |
Mar. 6, 2020
Jan. 17, 2020 |
|
Securities
Breach of Fiduciary Duty |
Expungement Denied | Thaddeus J. Tecza | Roger Scott Talman and Cath... |
Mar. 15, 2019
Jan. 21, 2019 |
|
Securities
Breach of Contract
Verdict:
$120,362
|
$120,362
|
Morgan Stanley Smith Barney... |
Sep. 24, 2011
May 3, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Jerry Mote v. First Allied ... |
Oct. 4, 2008
Jul. 15, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
Metal Finishing Association... |
Sep. 17, 2011
Jun. 9, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$16,000,000
|
$16,000,000
|
Lucy H. Koh | SEB Investment Management A... |
Dec. 30, 2021
Nov. 2, 2021 |
|
Securities
Securities Exchange Act |
Defense | Otis D. Wright II | Jesus Mendoza, individually... |
Dec. 9, 2022
Sep. 20, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$20,000
|
$20,000
|
Richard Watts, Sally W. Wat... |
Sep. 17, 2011
Jun. 17, 2011 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
St. Anthony Foundation's Ca... |
Feb. 4, 2012
Apr. 5, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Sergio Gavaldon, Angelica G... |
Dec. 29, 2012
Nov. 28, 2012 |
|
|
Securities
Securities Exchange Act |
Defense | Edward M. Chen | Ronald Sgarlata, individual... |
Feb. 8, 2019
Dec. 13, 2018 |
|
Securities
Stock Fraud
Verdict:
$0
|
$0
|
Madeleine I. Flier | C3 Enterprises v. George W.... |
Oct. 23, 1993
Sep. 24, 1993 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Defense |
Jimmy D. Hair, Karen E. Hai... |
Feb. 5, 2011
Jan. 7, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ronald L. Pelley v. Charles... |
Feb. 20, 2010
Jan. 21, 2010 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Expungement Denied |
Randall Larry Krenzin v. Me... |
Jun. 27, 2015
Mar. 4, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Ikho Kang, Unsoon K. Kang v... |
Dec. 6, 2008
Oct. 17, 2008 |
|
|
Securities
Expungement |
Claimant | Mark A. Law v. LPL Financia... |
Jan. 10, 2020
Nov. 4, 2019 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Christopher Gaertner, Jacqu... |
Dec. 28, 2013
Nov. 22, 2013 |
|
|
Securities
Breach of Promissory Note
Verdict:
$163,751
|
$163,751
|
Morgan Stanley Smith Barney... |
Dec. 21, 2013
Nov. 19, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$3,350,000
|
$3,350,000
|
In re Neopharm Inc. Securit... |
Feb. 5, 2011
Jan. 13, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Jun. 27, 2015
Mar. 6, 2015 |