58163 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement denied |
Carol Saunders v. Susan N. ... |
Oct. 31, 2015
Jul. 8, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$5,500,000
|
$5,500,000
|
James Rafton, Trustee of th... |
Dec. 3, 2011
Nov. 10, 2011 |
|
|
Securities
Breach of Implied Covenant of Good Faith and Fair Dealing |
Respondent | David J. Anderson | Joseph Manuel Focil v. Well... |
Jan. 12, 2018
Aug. 17, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$120,000
|
$120,000
|
Consuelo B. Marshall | Chris Hashem, individually ... |
Jul. 8, 2022
Apr. 8, 2022 |
|
Securities
Breach of Contract
Verdict:
$40,890
|
$40,890
|
KBS Capital Markets Group L... |
Apr. 15, 2017
Mar. 8, 2017 |
|
|
Securities
Breach of Promissory Note
Verdict:
$1,400,000
|
$1,400,000
|
Wells Fargo Clearing Servic... |
Jun. 26, 2020
Mar. 26, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$500,000
|
$500,000
|
Barbara Morris, individuall... |
Apr. 15, 2017
Mar. 21, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$70,000
|
$70,000
|
Michael Freese v. Waveland ... |
Apr. 15, 2017
Feb. 28, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Sarah Jane Harmon v. Charle... |
Apr. 15, 2017
Mar. 24, 2017 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Mark Birzell, Laura Birzell... |
Apr. 15, 2017
Mar. 14, 2017 |
|
|
Securities
Securities Fraud
Verdict:
$357,000
|
$357,000
|
Anthony J. Pryor v. Wells F... |
Apr. 15, 2017
Mar. 12, 2017 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denial |
Joan A. Lane v. Capwest Sec... |
Jan. 21, 2012
Oct. 11, 2011 |
|
|
Securities
Expungement |
Claimant | Peter Carmine Covino v. VSR... |
Aug. 7, 2020
Mar. 31, 2020 |
|
|
Securities
Fraud
Verdict:
$0
|
$0
|
Robert Jones | Confidential |
Apr. 5, 1997
Jun. 12, 1995 |
|
Securities
Securities Fraud
Verdict:
$463,082
|
$463,082
|
U.S. Securities and Exchang... |
Jul. 17, 2020
Apr. 9, 2020 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Expungement |
Vickie Tedesco Parrish, ind... |
Oct. 1, 2011
Jul. 18, 2011 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Dismissal |
Nick Shahrestany, Milan Inv... |
Oct. 1, 2011
Jul. 14, 2011 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Defense |
Dan Katz, Peter Van Nuis an... |
Dec. 31, 2011
Dec. 6, 2011 |
|
|
Securities
Securities Fraud
Verdict:
$85,000,000
|
$85,000,000
|
Landmen Partners Inc., indi... |
Sep. 28, 2013
Aug. 30, 2013 |
|
|
Securities
Breach of Contract
Verdict:
$63,655,200
|
$63,655,200
|
Rosen Capital Partners LP, ... |
Sep. 24, 2011
Jun. 30, 2011 |
|
|
Securities
Fraud
Verdict:
-$1
|
-$1
Expungement |
Seymour Berger and Barbara ... |
Sep. 21, 2013
Sep. 9, 2013 |
|
|
Securities
Breach of Fiduciary Duty |
Dismissal | Mark R. Lee | Sujata Vyas v. First Affili... |
Nov. 10, 2017
Sep. 9, 2017 |
|
Securities
Expungement |
Respondent | Arocles Aguilar | Xi Chen v. UBS Financial Se... |
Nov. 10, 2017
Sep. 12, 2017 |
|
Securities
Securities Exchange Act
Verdict:
$154,687,500
|
$154,687,500
|
Stephen V. Wilson | In Re Snap Inc. Securities ... |
May 1, 2020
Mar. 20, 2020 |
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Respondent |
Bart Sullivan Inc., Bart Su... |
Mar. 22, 2014
Mar. 4, 2014 |
|
|
Securities
Breach of Contract
Verdict:
$1,165,000
|
$1,165,000
|
Albertus Niehuis Jr., Andre... |
May 24, 2014
Apr. 30, 2014 |
|
|
Securities
Securities Exchange Act
Verdict:
-$1
|
-$1
Dismissal in part |
In re Hot Topic Inc. Securi... |
Jan. 3, 2015
May 2, 2014 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Expungement |
Teresa Sue Harmon v. Wells ... |
May 24, 2014
May 2, 2014 |
|
|
Securities
Securities Fraud
Verdict:
$12,000,000
|
$12,000,000
|
Martin J. Fuller, individua... |
Dec. 7, 2013
Aug. 2, 2013 |
|
|
Securities
Breach of Contract
Verdict:
-$1
|
-$1
Expungement |
Thomas Frances Nelson v. UB... |
Jan. 3, 2015
Apr. 29, 2014 |