58163 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Sale of Business
Verdict:
$301,000
|
$301,000
|
Ernest M. Hiroshige | Robert Sagehorn, Thomas Sag... |
Sep. 3, 2005
Jul. 1, 2005 |
|
Securities
Breach of Fiduciary Duty |
Expungement Denied | Thaddeus J. Tecza | Roger Scott Talman and Cath... |
Mar. 15, 2019
Jan. 21, 2019 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Estate of Chaille M. Love, ... |
Jan. 16, 2010
Dec. 14, 2009 |
|
|
Securities
NASD
Verdict:
-$1
|
-$1
Defense |
Wells Fargo Investments, LL... |
Oct. 28, 2006
Apr. 21, 2006 |
|
|
Securities
Securities Exchange Act |
Dismissal | William H. Alsup | Steven A. Mullen, Individua... |
Jan. 27, 2023
Aug. 31, 2022 |
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Charles Schwab & Co. Inc. v... |
Oct. 20, 2012
Sep. 19, 2012 |
|
|
Securities
Fraud
Verdict:
$8,500,000
|
$8,500,000
|
In re Spectranetics Corpora... |
Mar. 5, 2011
Sep. 11, 2010 |
|
|
Securities
Fraud
Verdict:
$726,000
|
$726,000
|
Michael L. Stern | Linda Wang v. Charles Xue |
Sep. 3, 2005
Apr. 6, 2005 |
|
Securities
Fraud
Verdict:
-$1
|
-$1
Defense |
Ikho Kang, Unsoon K. Kang v... |
Dec. 6, 2008
Oct. 17, 2008 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
U.S. Securities and Exchang... |
Sep. 29, 2012
Jul. 31, 2012 |
|
|
Securities
Expungement |
Expungement | Laurel L. Gothelf | Jason Kenneth Diaz v. Golde... |
Mar. 6, 2020
Jan. 17, 2020 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$23,761
|
$23,761
|
Securities and Exchange Com... |
Jul. 30, 2011
Jun. 8, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$40,000,000
|
$40,000,000
|
In re Sanofi-Aventis Securi... |
Feb. 8, 2014
Sep. 23, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Vikki Vargas v. Sharon Kear... |
Oct. 10, 2009
Jun. 3, 2009 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal |
In re Velti Securities Liti... |
Nov. 14, 2015
Oct. 1, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
The Brown Revocable Living ... |
Oct. 1, 2011
Jul. 14, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$160,500,000
|
$160,500,000
|
In re Broadcom Corp. Class ... |
Feb. 6, 2010
Dec. 29, 2009 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$202,300 (plus interest) |
Barbara J. Wammer, individu... |
Sep. 11, 2010
Aug. 12, 2010 |
|
|
Securities
Verdict:
$150,000,000
|
$150,000,000
|
People of the State of Cali... |
Jun. 5, 2020
Apr. 25, 2019 |
|
|
Securities
Employment
Verdict:
$222,750
|
$222,750
|
Joseph Alan Seidler v. Kevi... |
Jan. 4, 2014
Dec. 6, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$6,840,320
|
$6,840,320
|
Securities and Exchange Com... |
Mar. 19, 2011
Jul. 29, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,030
|
$80,030
|
David Jeffrey Herman v. Mos... |
Jun. 23, 2012
Oct. 10, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$296,981
|
$296,981
|
UBS Financial Services Inc.... |
Jul. 23, 2011
May 27, 2011 |
|
|
Securities
Negligent Misrepresentation |
Defense | Elliott Z. Seff | ABS Manager LLC v. Morgan S... |
Sep. 1, 2017
Jul. 25, 2017 |
|
Securities
Negligence
Verdict:
$323,122
|
$323,122
|
D Vollstedt & S Vollstedt T... |
Oct. 1, 2011
Jul. 12, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$1,200,000
|
$1,200,000
|
Henry Kankowski, Patrice Ka... |
Sep. 24, 2011
Jul. 5, 2011 |
|
|
Securities
Broker Fraud
Verdict:
$0
|
$0
|
Runston G. Maino | Alvin Ostrow v. Jerome Smit... |
Aug. 10, 1996
Mar. 12, 1996 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$200,000
|
$200,000
|
Robert W. Ralston, Susan B.... |
Sep. 24, 2011
Jul. 1, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Susan Inbar-Grecco, individ... |
Sep. 24, 2011
Jul. 5, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$3,800,000
|
$3,800,000
|
In the Matter of SAP SE |
Feb. 20, 2016
Feb. 1, 2016 |