58163 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement |
Expungement | Ronald Louis Valpey v. Merr... |
May 24, 2019
Apr. 11, 2019 |
|
|
Securities
Violation of the Protocol for Broker Recruiting |
Claimant | Evan A. Gould | Southwest Securities Inc. n... |
Oct. 6, 2017
Aug. 10, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Gene A. and Janice M. Hedlu... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Unfair Competition
Verdict:
-$1
|
-$1
Respondent |
Wells Fargo Advisors LLC v.... |
May 4, 2013
Apr. 18, 2013 |
|
|
Securities
Securities Fraud
Verdict:
$147,019
|
$147,019
|
Robert E. Jenks Jr. | Donald Adams, Eleanor M. Re... |
Oct. 6, 2017
Aug. 15, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$61,000,000
|
$61,000,000
|
Aurum STS Aggressive Tradin... |
Oct. 29, 2011
Oct. 6, 2011 |
|
|
Securities
Expungement |
Expungement | Philip A. Tymon | John W. Kettmann v. Morgan ... |
Mar. 1, 2019
Dec. 24, 2018 |
|
Securities
Expungement |
Respondent | Justin John Pearce v. J.P. ... |
Jun. 26, 2020
Apr. 16, 2020 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Martin Brookes v. Matthew J... |
Sep. 22, 2012
Aug. 30, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$6,215
|
$6,215
|
Vincent R. and Tracie D. He... |
Oct. 29, 2011
Oct. 7, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Liability |
Securities and Exchange Com... |
May 29, 2010
Apr. 23, 2010 |
|
|
Securities
Negligence
Verdict:
$118,217
|
$118,217
|
Lori A. Strayn, individuall... |
Mar. 23, 2013
Mar. 7, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Verdict for respondent Morgan Stanley Smith Barney |
Oliver Schwarz v. Citigroup... |
Jul. 21, 2012
Jun. 4, 2012 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Denial |
Kevin Joseph Schaefer v. UB... |
Oct. 1, 2011
Jul. 14, 2011 |
|
|
Securities
Expungement |
Claimant | Virgil John Threlkeld v. Fi... |
Aug. 14, 2020
Jun. 10, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$110,000
|
$110,000
|
Irma T. Agee, individually ... |
Oct. 24, 2009
Jul. 16, 2009 |
|
|
Securities
Expungement |
Expungement | Michael Shawn Bakos v. Fide... |
Apr. 17, 2020
Feb. 3, 2020 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Pauline W. Allen, individua... |
Jul. 4, 2014
Jun. 16, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
$29,500,000
|
$29,500,000
|
Yvonne Gonzalez Rogers | Babak Hatamian, Lussu Dennj... |
Nov. 24, 2017
Oct. 25, 2017 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement |
Jason Roberts Coles v. Well... |
Jun. 30, 2012
Aug. 24, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Dismissal |
City of Pontiac General Emp... |
May 19, 2012
Mar. 30, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$8,100,000
|
$8,100,000
|
Denis Doyle and Gloria Doyl... |
Jul. 16, 2016
May 31, 2016 |
|
|
Securities
Breach of Contract
Verdict:
$3,668,740
|
$3,668,740
|
Bruce L. Hopper Rollover IR... |
Feb. 14, 2015
Jun. 3, 2014 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
D.L. Gai, Trustee of the Ga... |
Dec. 21, 2013
Nov. 20, 2013 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$485,000
|
$485,000
|
Benjamin L. Hoch, an indivi... |
Dec. 13, 2014
Nov. 19, 2014 |
|
|
Securities
Negligence
Verdict:
$94,780
|
$94,780
|
Claire F. Goldsmith Living ... |
Jun. 9, 2012
May 4, 2012 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Equitable Settlement |
R.L. Wagner Trust - Richard... |
Jun. 2, 2012
May 7, 2012 |
|
|
Securities
Expungement |
Claimant | Steven Phillip Margulin v. ... |
Jun. 19, 2020
Apr. 16, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Flora J. Tisherman IRA, San... |
Feb. 16, 2013
Jan. 31, 2013 |
|
|
Securities
Violations of Exchange Act
Verdict:
-$1
|
-$1
Dismissal with leave to amend |
Thomas J. Primo v. Pacific ... |
May 4, 2013
Apr. 15, 2013 |