58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Claimant | George L. Tindall | Gal Sherman v. Equity Servi... |
Dec. 20, 2019
Oct. 10, 2019 |
|
Securities
Securities Fraud
Verdict:
$16,250,000
|
$16,250,000
|
Marcelo Cunha v. Hansen Nat... |
Aug. 16, 2014
Jul. 28, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$1,618,880
|
$1,618,880
|
Preferred Scan Inc., Alex N... |
Mar. 7, 2015
Jan. 27, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement Denied |
Arthur A. Torrellas, First ... |
Aug. 20, 2016
May 12, 2016 |
|
|
Securities
Securities Exchange Act |
Dismissal | Vince G. Chhabria | Jeffrey Toole, Individually... |
Feb. 3, 2023
Oct. 20, 2022 |
|
Securities
Breach of Contract |
Respondent | Guenter S. Cohn | Catherine Grace Bruno v. UB... |
Jan. 12, 2018
Aug. 2, 2017 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Permanent Injunction Granted |
Securities and Exchange Com... |
May 17, 2014
Oct. 1, 2013 |
|
|
Securities
Expungement |
Expungement | George L. Tindall | Troy Nicholas Tremblay v. C... |
Mar. 15, 2019
Jan. 14, 2019 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Edward Wayne Butowsky v. Mo... |
Mar. 25, 2017
Jan. 27, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$66,800
|
$66,800
|
Thomas E. Turk, Thomas E. T... |
Mar. 21, 2009
Feb. 2, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Yucaipa American Alliance F... |
Feb. 5, 2011
Aug. 12, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,137,920
|
$1,137,920
|
Karen Lamoreaux, Karen Lamo... |
Apr. 13, 2013
Mar. 27, 2013 |
|
|
Securities
Expungement |
Claimant | Brian J. Rener v. UBS Finan... |
Jan. 10, 2020
Oct. 28, 2019 |
|
|
Securities
Fraud
Verdict:
$4,023,950
|
$4,023,950
|
U.S. Securities and Exchang... |
Nov. 1, 2008
Jan. 29, 2008 |
|
|
Securities
Expungement |
Expungement | Helen M. Blohm | Lance J. Williams v. Merril... |
Jan. 25, 2019
Dec. 7, 2018 |
|
Securities
Verdict:
$2,536
|
$2,536
|
Thomas B. Wilson v. Morgan ... |
Apr. 17, 2020
Feb. 7, 2020 |
|
|
Securities
Violations of Exchange Act
Verdict:
$3,700,000
|
$3,700,000
|
Tom Palny, Xuecheng Yang v.... |
May 31, 2014
May 13, 2014 |
|
|
Securities
Breach of Promissory Note
Verdict:
-$1
|
-$1
$925,200 on Counter-Claim |
Wells Fargo Advisors LLC v.... |
Mar. 29, 2014
Feb. 24, 2014 |
|
|
Securities
Securities Exchange Act |
Dismissal | Jeffrey S. White | York County on behalf of th... |
Feb. 3, 2023
Mar. 3, 2022 |
|
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent; Expungement |
Margaret A. Lucas v. Mannin... |
Nov. 28, 2015
Oct. 31, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kurt Bochner, individually ... |
Oct. 1, 2011
Jul. 20, 2011 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement Denied | James D. Knotter | Gordon Mapes, et al. v. Rya... |
Jan. 12, 2018
Jun. 2, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Bobby Dean Taylor v. Banc o... |
Apr. 1, 2006
Nov. 23, 2005 |
|
|
Securities
Expungement |
Expungement | Mary M. Bush | Stephen Mark Seewer v. Well... |
Mar. 1, 2019
Dec. 17, 2018 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
AREI II CASES |
Mar. 14, 2015
Jan. 27, 2015 |
|
|
Securities
Fraud
Verdict:
$273,119
|
$273,119
|
Laurie Dee Miranda v. Craig... |
Dec. 20, 2014
Nov. 13, 2014 |
|
|
Securities
Expungement |
Expungement | Jeffrey Norman Cashman v. K... |
Mar. 20, 2020
Dec. 19, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Fred Hetzel v. Alpha Omega ... |
Feb. 14, 2015
Apr. 7, 2014 |
|
|
Securities
Negligence
Verdict:
$94,780
|
$94,780
|
Claire F. Goldsmith Living ... |
Jun. 9, 2012
May 4, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$296,981
|
$296,981
|
UBS Financial Services Inc.... |
Jul. 23, 2011
May 27, 2011 |