58163 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Edward Wayne Butowsky v. Mo... |
Mar. 25, 2017
Jan. 27, 2017 |
|
|
Securities
Securities Exchange Act
Verdict:
$4,800,000
|
$4,800,000
|
In Re American Apparel Inc.... |
May 31, 2014
Apr. 16, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Kimon P. Daifotis v. Jinni ... |
Jun. 18, 2011
May 6, 2011 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Mixed |
Bill John Callis v. Banc of... |
Mar. 17, 2012
Feb. 14, 2012 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Expungement Denied |
Lyn Freeman, individually a... |
Mar. 25, 2017
Jan. 25, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Bruce Vazzana, Ann Vazzana,... |
Mar. 25, 2017
Jan. 13, 2017 |
|
|
Securities
Securities Exchange Act
Verdict:
$22,482,300
|
$22,482,300
|
Securities and Exchange Com... |
May 31, 2014
May 15, 2014 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Respondent |
Alan Barrett, Margaret Barr... |
Apr. 1, 2017
Jan. 7, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$4,253,000
|
$4,253,000
|
George M. Weiner | REFCO Securities, Inc. v. C... |
Jan. 31, 1998
Jul. 22, 1997 |
|
Securities
Securities Fraud |
Defense | Yvonne Gonzalez Rogers | Christopher Hamilton, et al... |
Apr. 30, 2021
Apr. 5, 2021 |
|
Securities
Breach of Fiduciary Duty |
Respondent | Richard M. Norman | Myron Allen, individually, ... |
Nov. 10, 2017
Oct. 5, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Move Inc. v. Citigroup Glob... |
May 23, 2015
Sep. 22, 2014 |
|
|
Securities
Expungement |
Expungement | Kirtley M. Thiesmeyer | Lorenzo Daniel Esparza v. J... |
Mar. 1, 2019
Dec. 27, 2018 |
|
Securities
Employment
Verdict:
$9,265
|
$9,265
|
Dwayne Mark Peltier v. UBS ... |
Nov. 30, 2013
Nov. 8, 2013 |
|
|
Securities
Securities Exchange Act |
Dismissal | Susan Y. Illston | Christopher L. Sayce, Indiv... |
Oct. 29, 2021
Oct. 6, 2021 |
|
Securities
Securities Exchange Act |
Dismissal | Gonzalo P. Curiel | LifeVoxel Virginia SPV LLC;... |
May 30, 2025
Dec. 31, 2024 |
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
In Re: BofI Holding Inc. Sh... |
Mar. 25, 2017
Mar. 1, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$16,500,000
|
$16,500,000
|
In re Apple Inc. Securities... |
Jan. 22, 2011
Nov. 22, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Charles W. Ott, as Trustee ... |
May 7, 2011
Mar. 31, 2011 |
|
|
Securities
Fraud
Verdict:
$16,000,000
|
$16,000,000
|
In re LDK Solar Securities ... |
Oct. 23, 2010
Mar. 2, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denied |
Dennis Rosenstock v. UBS Fi... |
Jan. 17, 2009
Dec. 17, 2008 |
|
|
Securities
Securities Exchange Act
Verdict:
$90,961
|
$90,961
Consent Judgment |
Securities and Exchange Com... |
Feb. 7, 2015
Dec. 23, 2014 |
|
|
Securities
Expungement |
Expungement | Elliott D. Finkel | Duncan Earl Rolph v. City N... |
May 3, 2019
Mar. 6, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$14,171
|
$14,171
|
Poppie Phillips, individual... |
Jan. 15, 2011
Dec. 8, 2010 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Expungement |
Ronald Cey, Frances Cey, Gi... |
Jun. 11, 2016
Apr. 27, 2016 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Juliet Baruch v. Citigroup ... |
Jan. 8, 2011
Dec. 9, 2010 |
|
|
Securities
Expungement |
Claimant | Luis-Diego Quiroz v. J.P. M... |
Aug. 14, 2020
Jun. 3, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,000
|
$80,000
|
Daniel Hurley v. Northeast ... |
Jan. 17, 2009
Dec. 2, 2008 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$138,200
|
$138,200
|
Sterling Casualty Insurance... |
Jan. 24, 2009
Dec. 19, 2008 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
The Hextall Family Living T... |
Jul. 19, 2014
Jun. 26, 2014 |