58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$3,487,240
|
$3,487,240
|
Diane Truly, individually a... |
Feb. 3, 2007
Nov. 28, 2006 |
|
|
Securities
Breach of Contract
Verdict:
$346,241
|
$346,241
|
Richard Justin Lumelleau v.... |
Aug. 17, 2013
Aug. 2, 2013 |
|
|
Securities
Securities Exchange Act |
Mixed Verdict | Andrew J. Guilford | Hsing Ching Hsu, individual... |
Mar. 22, 2019
Feb. 4, 2019 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In Re Vical Incorporated Se... |
May 9, 2015
Mar. 9, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$19,167
|
$19,167
|
Harry R. Lynn, as Trustee o... |
Jul. 17, 2010
Jun. 21, 2010 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Dismissal |
Sandra Lifschitz v. Nextwav... |
May 12, 2012
Nov. 21, 2011 |
|
|
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
Breach of Fiduciary Duty
Verdict:
$5,979
|
$5,979
|
Ishii Family Trust dated 12... |
May 2, 2015
Apr. 8, 2015 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Rosa R. Makwana, Jitendra J... |
Dec. 21, 2013
Nov. 21, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Defense |
Life Receivables Ireland, L... |
May 5, 2012
May 4, 2011 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Respondent. |
John S. Surinchak and Linda... |
Jan. 27, 2007
Nov. 3, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Roberta Lee Franklin, indiv... |
May 2, 2015
Mar. 30, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Sefferino Guerrera, Sefferi... |
Feb. 11, 2017
Nov. 16, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$202,300 (plus interest) |
Barbara J. Wammer, individu... |
Sep. 11, 2010
Aug. 12, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$476,583
|
$476,583
|
Thomas J. Hewkin, Kathy S. ... |
May 2, 2015
Mar. 19, 2015 |
|
|
Securities
Breach of Promissory Note
Verdict:
-$1
|
-$1
Mixed Result |
Piper Jaffray & Co. v. Lawr... |
Mar. 31, 2007
Nov. 3, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,218,220
|
$1,218,220
|
Narramore Christian Foundat... |
Mar. 24, 2007
Nov. 27, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$41,251
|
$41,251
|
Mary Nassimi v. Brookstreet... |
Feb. 3, 2007
Nov. 7, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$60,000
|
$60,000
|
Jeanne Van Order v. Securit... |
Jan. 27, 2007
Nov. 10, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$1,012,000 (plus interest) |
Nickie Lee Silk as trustee ... |
Sep. 18, 2010
Aug. 10, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$17,361
|
$17,361
|
Wells Fargo Advisors LLC fo... |
Sep. 18, 2010
Aug. 22, 2010 |
|
|
Securities
Securities Exchange Act |
Dismissal | Anthony J. Battaglia | In re: Sorrento Therapeutic... |
Jan. 20, 2023
Jun. 3, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$482,050
|
$482,050
|
Alicia G. Rosenberg | Securities and Exchange Com... |
May 20, 2022
Apr. 11, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$100,000
|
$100,000
|
Jon S. Tigar | Securities and Exchange Com... |
Feb. 21, 2025
Jan. 14, 2025 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Gene Gasselle v. Merrill Ly... |
May 8, 2010
Apr. 9, 2010 |
|
|
Securities
Verdict:
$2,536
|
$2,536
|
Thomas B. Wilson v. Morgan ... |
Apr. 17, 2020
Feb. 7, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Alliance Semiconductor Corp... |
Nov. 26, 2011
Nov. 5, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
In re Bridgepoint Education... |
Nov. 15, 2014
Oct. 17, 2014 |
|
|
Securities
Expungement |
Expungement | Jeffrey Norman Cashman v. K... |
Mar. 20, 2020
Dec. 19, 2019 |
|
|
Securities
Fraud
Verdict:
$47,449
|
$47,449
|
Chris Vovos v. The Boston G... |
Jun. 27, 1998
May 14, 1998 |