58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
$100,000
|
$100,000
|
Donna Berry v. Royal Allian... |
Jan. 12, 2013
Dec. 17, 2012 |
|
|
Securities
Securities Exchange Act |
Dismissal | George H. Wu | In Re: Semiconductor Manufa... |
Dec. 23, 2022
Jun. 9, 2022 |
|
Securities
Securities Fraud
Verdict:
$2,819,692
|
$2,819,692
|
Jeffrey S. White | Securities and Exchange Com... |
Jun. 24, 2022
Apr. 11, 2022 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Mark Robert Fasano, UBS Fin... |
May 24, 2014
May 1, 2014 |
|
|
Securities
Violations of Exchange Act
Verdict:
$26,000,000
|
$26,000,000
|
City of Roseville Employees... |
Jan. 5, 2013
Dec. 4, 2012 |
|
|
Securities
Expungement |
Expungement | Michael John Tusing v. Deut... |
Apr. 17, 2020
Feb. 4, 2020 |
|
|
Securities
Expungement |
Expungement | Mark William Lininger v. RB... |
Apr. 17, 2020
Feb. 4, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,460,000
|
$1,460,000
|
Horace Grant v. Morgan Keeg... |
Oct. 24, 2009
Sep. 11, 2009 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal with prejudice |
In re Century Aluminum Co. ... |
Apr. 9, 2011
Mar. 3, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$5,088,400
|
$5,088,400
|
Harwich East Plaza LLC v. V... |
Jun. 15, 2013
Jun. 4, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
10100 Culver City LLC, Farr... |
Dec. 13, 2014
Nov. 19, 2014 |
|
|
Securities
Negligence
Verdict:
$18,500
|
$18,500
|
Jeanne Johnson v. UBS Finan... |
Jan. 29, 2011
Dec. 28, 2010 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Gregory R. Raifman, Susan R... |
Apr. 9, 2011
Mar. 1, 2011 |
|
|
Securities
Expungement |
Claimant | Michael Lancaster Garcia | Mark Clifford Richmond v. L... |
Dec. 27, 2019
Oct. 11, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Carolyn Erskine v. Michael ... |
Dec. 20, 2014
Nov. 18, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
$533,535
|
$533,535
|
Wells Fargo Investments, LL... |
Jul. 31, 2010
Jun. 22, 2010 |
|
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Matthew Martin Howley v. Me... |
Apr. 5, 2019
Mar. 4, 2019 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Denial |
Cynthia L. Stirling, Cynthi... |
Dec. 17, 2011
Nov. 23, 2011 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In Re: Crocs Inc. Securitie... |
Apr. 30, 2011
Feb. 28, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Chris's Stuff 401K Profit S... |
Jun. 28, 2014
Feb. 21, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$2,300,000
|
$2,300,000
|
Mark C. Scarsi | Securities and Exchange Com... |
Apr. 8, 2022
Mar. 9, 2022 |
|
Securities
Securities Fraud
Verdict:
$129,600,000
|
$129,600,000
|
National Credit Union Admin... |
Oct. 31, 2015
Sep. 15, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$88,470
|
$88,470
|
Victor Chang, individually ... |
Oct. 31, 2009
Sep. 10, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$450,000
|
$450,000
|
Bernard Krasnow | Confidential |
Oct. 12, 1996
Aug. 22, 1996 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Permanent Injunction |
U.S. Bancorp Investments In... |
May 18, 2013
May 2, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Larry McCumber and Joyce Mc... |
May 18, 2013
Apr. 30, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Cindy Bridges-Ross v. Morga... |
Dec. 17, 2011
Nov. 15, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Denial |
Robert Stafford Sr., Cynthi... |
Dec. 17, 2011
Nov. 16, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$149,763
|
$149,763
|
Wells Fargo Advisors LLC v.... |
Jun. 1, 2013
May 16, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$13,250,000
|
$13,250,000
|
Western Pennsylvania Electr... |
Jun. 14, 2014
Apr. 22, 2014 |