Justia Lawyer, Legal Aid & Services Directory: California Broker Fraud Lawyers
Other Statutes - Securities/Commodities/Exchanges Cases filed in the California Northern District Court before Joseph C. Spero [ Court Info ]
Results 1 - 13 of 13
| Parties | District Court | Judge | Type of Lawsuit | Cause of Action |
|---|---|---|---|---|
| October 30, 2009 | ||||
| Securities and Exchange Commission v. Tang et al | CA Northern | Spero | Securities/Commodities/Exchanges | Securities Exchange Act |
|
Plaintiff: Securities and Exchange Commission, Securities and Exchange Commission Defendant: King Chuen
Tang, Ronald Yee, Zisen Yu, Joseph Seto, Ming Siu and others...
|
||||
| October 15, 2009 | ||||
| Securities and Exchange Commission v. Jones et al | CA Northern | Walker | Securities/Commodities/Exchanges | Securities Exchange Act |
|
Plaintiff: Securities and Exchange Commission, Securities and Exchange Commission Defendant: Benjamin P.
Jones, William F. Jones, III, William T. Dailey, III, Jeremiah E. Carroll
|
||||
| August 13, 2009 | ||||
| Lee v. Northern Trust Corporation et al | CA Northern | Spero | Securities/Commodities/Exchanges | Securities Exchange Act |
|
Plaintiff: Noel Lee, Noel Lee, Noel Lee, Noel Lee, Noel Lee Defendant: Northern Trust Corporation,
Northern Trust Bank of California N.A., Northern Trust Securities, Inc.
|
||||
| March 3, 2009 | ||||
| City of Fremont v. Citigroup Global Markets, Inc. et al | CA Northern | Spero | Securities/Commodities/Exchanges | Federal Question |
|
Plaintiff: City of Fremont; Defendant: Citigroup Global Markets, Inc., Banc of America Securities, LLC,
BNY Capital Markets, Inc., Ernst & Young, LLP, Richard S. Fuld, Jr. and
others...
|
||||
| December 4, 2008 | ||||
| Securities and Exchange Commission v. Del Biaggio | CA Northern | Breyer | Securities/Commodities/Exchanges | U.S. Government Plaintiff |
|
Plaintiff: Securities and Exchange Commission; Defendant: William J. Del Biaggio, III
|
||||
| October 1, 2008 | ||||
| City of Alameda, California et al v. Nuveen Municipal High Income Opportunity Fund et al | CA Northern | Illston | Securities/Commodities/Exchanges | Federal Question |
|
Plaintiff: City of Alameda, California, Alameda Power & Telecom, Alameda Public Financing Authority; Defendant: Alameda Public Improvement Corporation, Nuveen Municipal High Income Opportunity Fund, The Nuveen Municipal Trust, Nuveen Asset Management Inc
|
||||
| July 16, 2008 | ||||
| Securities and Exchange Commission v. Rauch | CA Northern | Spero | Securities/Commodities/Exchanges | U.S. Government Plaintiff |
|
Plaintiff: Securities and Exchange Commission; Defendant: William J. Rauch
|
||||
| September 26, 2007 | ||||
| Securities and Exchange Commission v. Trabulse et al | CA Northern | Spero | Securities/Commodities/Exchanges | Securities Fraud |
|
Plaintiff: Securities and Exchange Commission; Defendant: Alexander James Trabulse, Fahey Fund, L.P.,
Fahey Financial Group, Inc., International Trade & Data, ITD Trading
|
||||
| May 31, 2007 | ||||
| Securities and Exchange Commission v. Brocade Communications Systems, Inc. | CA Northern | Spero | Securities/Commodities/Exchanges | Securities Fraud |
|
Plaintiff: Securities and Exchange Commission; Defendant: Brocade Communications Systems, Inc.
|
||||
| May 14, 2007 | ||||
| Securities and Exchange Commission v. Balkenhol | CA Northern | Spero | Securities/Commodities/Exchanges | Securities Exchange Act |
|
Plaintiff: Securities and Exchange Commission; Defendant: Christopher M. Balkenhol
|
||||
| September 13, 2006 | ||||
| Securities and Exchange Commission v. Indigenous Global Development Corporation et al | CA Northern | Spero | Securities/Commodities/Exchanges | Securities Exchange Act |
| June 13, 2005 | ||||
| Cornelia I. Crowell GST Trust v. Magma Design Automation, Inc. et al | CA Northern | Breyer | Securities/Commodities/Exchanges | Securities Exchange Act |
| January 10, 2005 | ||||
| Securities and Exchange Commission v. Calandra | CA Northern | Spero | Securities/Commodities/Exchanges | Securities Fraud |
Includes court opinions, orders, and all eFiling documents (complaint, responses, associated filings).
Includes court opinions & orders.
The Justia Federal District Court Filings & Dockets site republishes public litigation records retrieved from the US Federal District Courts. These filings and docket sheets should
not be considered findings of fact or liability, and do not necessarily reflect the view of Justia.
Copyright © Justia :: Company :: Terms of Service :: Privacy Policy :: Contact Us :: Have a Happy Day!