58163 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Joe Solorsa v. Wells Fargo ... |
Nov. 28, 2015
Oct. 14, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$125,000
|
$125,000
|
Jon and Colleen Levin, indi... |
Nov. 28, 2015
Oct. 22, 2015 |
|
|
Securities
Negligence
Verdict:
$813,475
|
$813,475
|
Mary Tiscornia, Jennifer Ti... |
Nov. 28, 2015
Nov. 4, 2015 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Cyrus Tabaz v. J.P. Morgan ... |
Nov. 28, 2015
Nov. 3, 2015 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement denied |
Steven J. Jensen, Nancy Jen... |
Nov. 28, 2015
Nov. 2, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Jaimie Davis v. WFP Securit... |
Apr. 14, 2012
Feb. 29, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$254,700
|
$254,700
|
Carol Marini v. Marcelle Lo... |
Aug. 4, 2012
Jun. 25, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bank of Nevada v. UBS Finan... |
Mar. 16, 2013
Mar. 5, 2013 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Scott B. Teter v. UBS Finan... |
Mar. 16, 2013
Mar. 4, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. a... |
Mar. 16, 2013
Feb. 26, 2013 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Respondent |
Margaret A. Wendt v. UBS Fi... |
Mar. 17, 2012
Jan. 30, 2012 |
|
|
Securities
CLRA
Verdict:
$23,000
|
$23,000
|
P. Anne Giannini v. Raymond... |
Mar. 17, 2012
Feb. 1, 2012 |
|
|
Securities
Negligence
Verdict:
$12,133
|
$12,133
|
Peter P. Reddy Sr. v. E*Tra... |
Mar. 24, 2012
Jan. 17, 2012 |
|
|
Securities
Lending
Verdict:
-$1
|
-$1
Mixed |
Pacific Select Fund v. Bank... |
Mar. 17, 2012
Jan. 30, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$62,073
|
$62,073
|
Merrill Lynch, Pierce, Fenn... |
Mar. 9, 2013
Feb. 12, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Paul J. McDonough, Ellen Mc... |
Apr. 7, 2012
Mar. 12, 2012 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Defense |
Scott Singleton v. E-Trade ... |
Oct. 31, 2015
Aug. 28, 2015 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Plaintiffs |
In re James Donzil Roberts ... |
Oct. 24, 2015
Sep. 9, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$4,366,790
|
$4,366,790
|
Securities and Exchange Com... |
Oct. 31, 2015
Jul. 17, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
Michael H. Resh, William Sc... |
Oct. 10, 2015
Jan. 7, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$247,000
|
$247,000
|
Lucy Mattinen, John Mattine... |
Nov. 3, 2012
Oct. 3, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Gerhard Rohloff individuall... |
Nov. 3, 2012
Oct. 5, 2012 |
|
|
Securities
Stocks
Verdict:
$23,500,000
|
$23,500,000
|
In re Constar International... |
Nov. 17, 2012
Sep. 14, 2012 |
|
|
Securities
Employment
Verdict:
$9,265
|
$9,265
|
Dwayne Mark Peltier v. UBS ... |
Nov. 30, 2013
Nov. 8, 2013 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
Joseph Curry, individually ... |
May 16, 2015
Apr. 21, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$150,000
|
$150,000
|
Steve Roof v. Sterling C. S... |
May 30, 2015
Apr. 21, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Move Inc. v. Citigroup Glob... |
May 23, 2015
Sep. 22, 2014 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
The Donald J. Adams Trust v... |
May 23, 2015
Mar. 13, 2015 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Kelly Martinsen v. E*Trade ... |
Jan. 28, 2012
Dec. 30, 2011 |
|
|
Securities
Falsification of Records
Verdict:
-$1
|
-$1
Mixed Result |
Department of Market Regula... |
Jul. 9, 2016
Apr. 4, 2016 |