58163 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Permanent Injunction |
United States Securities an... |
Jan. 24, 2015
Apr. 24, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
John D. Haas, Kathy Haas, N... |
Jan. 16, 2016
Nov. 19, 2015 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ilyse Fern Klavir v. Banc o... |
Nov. 6, 2010
Oct. 13, 2010 |
|
|
Securities
Securities Exchange Act |
Dismissal | William H. Alsup | Steven A. Mullen, Individua... |
Jan. 27, 2023
Aug. 31, 2022 |
|
Securities
Securities Exchange Act
Verdict:
$1,800,000
|
$1,800,000
|
John W. Holcomb | William Likas, individually... |
Dec. 9, 2022
Mar. 14, 2022 |
|
Securities
Commodities
Verdict:
$3,000,000
|
$3,000,000
|
Securities and Exchange Com... |
Apr. 30, 2011
Mar. 22, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ronald L. Pelley v. Charles... |
Feb. 20, 2010
Jan. 21, 2010 |
|
|
Securities
Employment
Verdict:
-$1
|
-$1
Respondent |
Justin Todd Miller v. Union... |
Aug. 23, 2014
Aug. 7, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
$202,300 (plus interest) |
Barbara J. Wammer, individu... |
Sep. 11, 2010
Aug. 12, 2010 |
|
|
Securities
Expungement |
Confirmed | Richard B. Ulmer Jr. | Justin Timothy Bailey v. We... |
Jan. 24, 2025
Jul. 2, 2024 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Leo David, Ruth David, R&D ... |
Sep. 24, 2011
Jul. 8, 2011 |
|
|
Securities
Securities Exchange Act
Verdict:
$809,000,000
|
$809,000,000
|
Jon S. Tigar | In re Twitter Inc. Securiti... |
Oct. 8, 2021
Sep. 21, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$7,250,000
|
$7,250,000
|
West Palm Beach Police Pens... |
Mar. 31, 2012
Jan. 13, 2012 |
|
|
Securities
Breach of Promissory Note
Verdict:
-$1
|
-$1
Equitable Settlement |
Wells Fargo Investments LLC... |
Feb. 4, 2012
Jan. 6, 2012 |
|
|
Securities
Negligence
Verdict:
$12,133
|
$12,133
|
Peter P. Reddy Sr. v. E*Tra... |
Mar. 24, 2012
Jan. 17, 2012 |
|
|
Securities
Fraud
Verdict:
$3,800,000
|
$3,800,000
|
In re: InfoSonics Corporati... |
Jan. 10, 2009
Oct. 17, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Susan Inbar-Grecco, individ... |
Sep. 24, 2011
Jul. 5, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bernie Bernheim APC Retirem... |
Jan. 24, 2015
Dec. 11, 2014 |
|
|
Securities
Fraud
Verdict:
$235,000,000
|
$235,000,000
|
In re Charles Schwab Corp. ... |
Jun. 12, 2010
May 25, 2010 |
|
|
Securities
FINRA Rules
Verdict:
-$1
|
-$1
Claimant |
Grant Arthur Gochin v. UBS ... |
Jan. 24, 2015
Dec. 14, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$3,000,000
|
$3,000,000
|
Burt Weston, on behalf of h... |
Feb. 8, 2014
Dec. 16, 2013 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
Securities and Exchange Com... |
Nov. 6, 2010
Jan. 5, 2010 |
|
|
Securities
Securities Exchange Act
Verdict:
$3,500,000
|
$3,500,000
|
Stephen V. Wilson | Securities and Exchange Com... |
Apr. 23, 2021
Mar. 30, 2021 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
James L. Donohue, James L. ... |
Feb. 11, 2012
Dec. 30, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$3,668,740
|
$3,668,740
|
Bruce L. Hopper Rollover IR... |
Feb. 14, 2015
Jun. 3, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$693,000
|
$693,000
|
Michael Aberlich, Patricia ... |
Aug. 25, 2012
Aug. 2, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Claims Denied |
Ellen L. Brown v. Neuberger... |
Aug. 13, 2011
Jun. 9, 2011 |
|
|
Securities
Professional Malpractice
Verdict:
$4,500,000
|
$4,500,000
|
In re: Wireless Facilities ... |
May 16, 2009
Aug. 29, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
The Brown Revocable Living ... |
Oct. 1, 2011
Jul. 14, 2011 |
|
|
Securities
Breach of Contract
Verdict:
$8,011,530
|
$8,011,530
|
Amit Gupta v. Morgan Stanle... |
Sep. 21, 2013
Aug. 29, 2013 |