58163 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Robert Paul v. Peter Shieh ... |
Nov. 18, 2006
Sep. 7, 2006 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$619,083
|
$619,083
|
Pooroushasb Parineh and Par... |
Mar. 3, 2012
Feb. 9, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Gene A. and Janice M. Hedlu... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Levi Nagel v. UBS Financial... |
Jun. 27, 2015
Apr. 27, 2015 |
|
|
Securities
Expungement |
Expungement | Elliott D. Finkel | David Hunt v. Merrill Lynch... |
Apr. 10, 2020
Feb. 24, 2020 |
|
Securities
Negligent Misrepresentation |
Defense | Elliott Z. Seff | ABS Manager LLC v. Morgan S... |
Sep. 1, 2017
Jul. 25, 2017 |
|
Securities
Expungement |
Claimant | Neil S. Jasper | Jennifer Lynne Turner v. LP... |
Dec. 13, 2019
Oct. 22, 2019 |
|
Securities
Expungement |
Expungement | Frank Feipang Auyeung v. Ba... |
May 24, 2019
Apr. 10, 2019 |
|
|
Securities
Securities Fraud
Verdict:
$706,733
|
$706,733
|
Securities And Exchange Com... |
Apr. 30, 2016
Apr. 7, 2016 |
|
|
Securities
Fraud |
Respondent | Paula Tyler, Trustee of the... |
May 24, 2019
Apr. 10, 2019 |
|
|
Securities
Breach of Fiduciary Duty |
Expungement | Michael Noia et al. v. Amer... |
May 24, 2019
Apr. 9, 2019 |
|
|
Securities
Breach of Promissory Note
Verdict:
$531,783
|
$531,783
|
Morgan Stanley Smith Barney... |
Feb. 2, 2013
Jan. 17, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$98,000,000
|
$98,000,000
|
In Re Mattel Inc. Securitie... |
Jul. 8, 2022
May 18, 2022 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Dorothy Wade, on Behalf of ... |
Oct. 16, 2010
Sep. 28, 2010 |
|
|
Securities
Breach of Promissory Note
Verdict:
$107,763
|
$107,763
|
Ameriprise Financial Servic... |
Feb. 2, 2013
Jan. 22, 2013 |
|
|
Securities
Stocks
Verdict:
-$1
|
-$1
Expungement |
The Heater Family Trust v. ... |
Jul. 14, 2012
Jun. 6, 2012 |
|
|
Securities
Securities Fraud
Verdict:
$6,250,000
|
$6,250,000
|
In Re State Street Bank and... |
Jun. 16, 2012
May 23, 2012 |
|
|
Securities
Breach of Contract
Verdict:
$607,568
|
$607,568
|
UBS Financial Services Inc.... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
CRD Records |
Expungement Denied | Herbert Liberman | Shareholders Service Group ... |
Aug. 25, 2017
Jul. 19, 2017 |
|
Securities
Violation of the Securities Act
Verdict:
-$1
|
-$1
Defense |
U.S Securities and Exchange... |
Jan. 4, 2014
Dec. 10, 2013 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,750,000
|
$3,750,000
|
Christina A. Snyder | Michael Chupa, individually... |
Nov. 4, 2022
Jul. 19, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
David J. Foster on behalf o... |
Aug. 21, 2010
Aug. 5, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
For Respondent |
The William Dale Kelly and ... |
Jun. 23, 2012
Sep. 29, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$3,500,000
|
$3,500,000
|
Josephine L. Staton | Adam Gary LaFrano, and Adam... |
Feb. 9, 2024
Jul. 26, 2023 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Steven Steinberg v. UBS Fin... |
Sep. 11, 2010
Aug. 18, 2010 |
|
|
Securities
Expungement |
Expungement | Kevin K. Forrester | Nisha Sandeep Varma v. LPL ... |
May 31, 2019
Apr. 4, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$685,579
|
$685,579
|
Ralph A. Cotton | Bonnie Bolle, individually ... |
Jan. 26, 2018
Dec. 20, 2017 |
|
Securities
Suitability
Verdict:
-$1
|
-$1
Respondent |
Donald Stunkart v. Edward J... |
Jan. 4, 2014
Dec. 11, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Sharyl J. Lee, individually... |
Apr. 27, 2013
Apr. 9, 2013 |
|
|
Securities
Fraud
Verdict:
$726,000
|
$726,000
|
Michael L. Stern | Linda Wang v. Charles Xue |
Sep. 3, 2005
Apr. 6, 2005 |