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58163 Rulings

Topic Case Name Published / Result

Securities

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