58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Verdict:
$1,500,000
|
$1,500,000
|
Thomas S. Hixson | United States of America v.... |
Apr. 1, 2022
Mar. 3, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$8,500,000
|
$8,500,000
|
John F. Walter | In re: Stable Road Acquisit... |
Feb. 9, 2024
Sep. 20, 2023 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent. |
R. Carlton Seaver | Rene Garcia v. Morgan Stanl... |
May 6, 2006
Jan. 11, 2006 |
|
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
Securities Fraud |
Respondent | Theresa Taylor v. Interacti... |
Feb. 7, 2020
Oct. 31, 2019 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
$675,000 for respondent/cross-complainant Ina; $200,000 for respondent/cross-complainant Morilak; $733,000 for respondent/cross-complainant Parziale |
Banc of America Investment ... |
Jun. 9, 2007
Sep. 27, 2006 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,000,000
|
$1,000,000
|
Jon S. Tigar | Inchen Huang, individually ... |
Dec. 30, 2022
Aug. 29, 2022 |
|
Securities
Commodities |
Defense | Edward M. Chen | In re Finjan Holdings Inc. ... |
Oct. 1, 2021
Sep. 13, 2021 |
|
Securities
Securities Fraud
Verdict:
$577,000
|
$577,000
|
Securities and Exchange Com... |
Sep. 24, 2016
Sep. 1, 2016 |
|
|
Securities
Securities Fraud
Verdict:
$2,600,000
|
$2,600,000
|
In the Matter of Total Weal... |
Oct. 10, 2015
Aug. 17, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$667,725
|
$667,725
|
Gerald W. Hepp | Carpenter Law Firm Defined ... |
Jun. 14, 2019
Apr. 29, 2019 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Rivette Family Trusts v. We... |
Dec. 20, 2019
Nov. 6, 2019 |
|
|
Securities
Securities Fraud |
Expungement | William M. Samsel | Laurie Seeman, an individua... |
Oct. 6, 2017
Sep. 1, 2017 |
|
Securities
Negligence
Verdict:
-$1
|
-$1
Settlement/Expungement |
Michael Rocco and Christian... |
Jan. 28, 2012
Dec. 30, 2011 |
|
|
Securities
Expungement |
Expungement | Richard J. Kaplan | Marc Layne Lowell v. Argent... |
Jun. 21, 2019
Apr. 23, 2019 |
|
Securities
Expungement |
Claimant | Mary M. Bush | Garret Ray Morgan v. Securi... |
Dec. 27, 2019
Oct. 9, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$150,000
|
$150,000
|
Confidential |
Jan. 1, 2001
Dec. 15, 2000 |
|
|
Securities
Breach of Contract |
Dismissal | David L. Moore IRA, David L... |
Jul. 17, 2020
May 22, 2020 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Simon David Lewis, Laurens ... |
Mar. 20, 2010
Feb. 10, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Timothy Tutko v. Wendy Adai... |
Jan. 12, 2013
Dec. 20, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$3,262,300
|
$3,262,300
|
Stephen A. Whittington, et ... |
Jan. 24, 2009
Nov. 3, 2008 |
|
|
Securities
Unfair Competition
Verdict:
$100,000,000
|
$100,000,000
|
Federal Trade Commission v.... |
Jan. 7, 2017
Dec. 19, 2016 |
|
|
Securities
Fraud
Verdict:
$55,000
|
$55,000
|
Securities and Exchange Com... |
Dec. 27, 2008
May 20, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$750,000
|
$750,000
|
Stanley G. Kazezski, Lillia... |
Jun. 18, 2011
May 5, 2011 |
|
|
Securities
Securities Fraud |
Expungement | Robert A. Resnick, Wai-Pang... |
Apr. 10, 2020
Feb. 19, 2020 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Tamer Salameh, et al., v. T... |
Apr. 30, 2011
Apr. 12, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$176,500
|
$176,500
|
Sean Berton v. Cornerstone ... |
Sep. 5, 2015
Jun. 8, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Helen M. Peters, Administra... |
Sep. 12, 2015
May 29, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$487,336
|
$487,336
|
Margaret Farwell Smith, ind... |
Sep. 5, 2015
May 26, 2015 |