401k Safe LLC v. Pinnacle Financial Services Inc
| 401k Safe LLC |
| Pinnacle Financial Services Inc |
| 2:2020cv00300 |
| March 5, 2020 |
| US District Court for the Northern District of Alabama |
| Madeline Hughes Haikala |
| Contract: Other |
| 28 U.S.C. § 1441 |
| None |
Docket Report
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This docket was last retrieved on March 16, 2021. A more recent docket listing may be available from PACER.
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| Filing 53 REPLY to Response to Motion re #38 MOTION for Bond to Recover Against Bond filed by Pinnacle Financial Services Inc. (Attachments: #1 Exhibit 1 - Declaration of Theodore Key)(Adams, James) |
| Filing 52 REPLY to Response to Motion re #37 MOTION to Dismiss for Lack of Jurisdiction or, Alternatively, to Transfer This Action filed by Pinnacle Financial Services Inc. (Adams, James) |
Filing 51
Text Order: Consistent with the discussion on the record during the March 30, 2020 telephone hearing and the Court's order vacating the temporary restraining order, the Court dismisses as moot Docs. #15 , #24 , #29 , #30 , and #32 . Signed by Judge Madeline Hughes Haikala on 4/30/2020. (KEK)
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Filing 50
Text Order: The Court grants PFS' motion for a limited protective order restricting disclosure of the Michael Salerno affidavit to attorneys' eyes only. (Doc. #6 ). Signed by Judge Madeline Hughes Haikala on 4/30/2020. (KEK)
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| Filing 49 NOTICE of Appearance by William K Hancock on behalf of 401k Safe LLC (Hancock, William) |
| Filing 48 RESPONSE in Opposition re #37 MOTION to Dismiss for Lack of Jurisdiction or, Alternatively, to Transfer This Action filed by 401k Safe LLC. (Hancock, William) |
| Filing 47 RESPONSE in Opposition re #38 MOTION for Bond to Recover Against Bond filed by 401k Safe LLC. (Hancock, William) |
| Filing 46 Evidentiary Material IN SUPPORT OF 401K SAFE LLC'S RESPONSE TO PINNACLE FINANCIAL SERVICES LLCS MOTION TO DISMISS OR TRANSFER AND ITS MOTION TO RECOVER AGAINST THE BOND. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10-1, #11 Exhibit 10-2)(Hancock, William) |
| Filing 45 Transcript of Proceedings held on 3/30/2020, before Judge Madeline Hughes Haikala. Court Reporter/Transcriber Leah Turner. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. NOTICE: The parties have seven (7) calendar days to file with the Court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript will be made remotely electronically available to the public without redaction after 90 calendar days. (A copy can be obtained at http://www.alnd.uscourts.gov/local/court%20forms/transcripts/Transcript% 20Redaction%20Policy.pdf) See Transcript Redaction Policy Redaction Request due 5/11/2020. Redacted Transcript Deadline set for 5/21/2020. Release of Transcript Restriction set for 7/19/2020. (KEK) |
| Filing 44 Transcript of Proceedings held on 3/25/2020, before Judge Madeline Hughes Haikala. Court Reporter/Transcriber Leah Turner. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. NOTICE: The parties have seven (7) calendar days to file with the Court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript will be made remotely electronically available to the public without redaction after 90 calendar days. (A copy can be obtained at http://www.alnd.uscourts.gov/local/court%20forms/transcripts/Transcript% 20Redaction%20Policy.pdf) See Transcript Redaction Policy Redaction Request due 5/11/2020. Redacted Transcript Deadline set for 5/21/2020. Release of Transcript Restriction set for 7/19/2020. (KEK) |
| Filing 43 Transcript of Proceedings held on 3/24/2020, before Judge Madeline Hughes Haikala. Court Reporter/Transcriber Leah Turner. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. NOTICE: The parties have seven (7) calendar days to file with the Court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript will be made remotely electronically available to the public without redaction after 90 calendar days. (A copy can be obtained at http://www.alnd.uscourts.gov/local/court%20forms/transcripts/Transcript% 20Redaction%20Policy.pdf) See Transcript Redaction Policy Redaction Request due 5/11/2020. Redacted Transcript Deadline set for 5/21/2020. Release of Transcript Restriction set for 7/19/2020. (KEK) |
| Filing 42 Transcript of Proceedings held on 3/23/2020, before Judge Madeline Hughes Haikala. Court Reporter/Transcriber Teresa Roberson. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. NOTICE: The parties have seven (7) calendar days to file with the Court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript will be made remotely electronically available to the public without redaction after 90 calendar days. (A copy can be obtained at http://www.alnd.uscourts.gov/local/court%20forms/transcripts/Transcript% 20Redaction%20Policy.pdf) See Transcript Redaction Policy Redaction Request due 5/11/2020. Redacted Transcript Deadline set for 5/21/2020. Release of Transcript Restriction set for 7/19/2020. (KEK) |
| Filing 41 Transcript of Proceedings held on 3/9/2020, before Judge Madeline Hughes Haikala. Court Reporter/Transcriber Leah Turner. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. NOTICE: The parties have seven (7) calendar days to file with the Court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript will be made remotely electronically available to the public without redaction after 90 calendar days. (A copy can be obtained at http://www.alnd.uscourts.gov/local/court%20forms/transcripts/Transcript% 20Redaction%20Policy.pdf) See Transcript Redaction Policy Redaction Request due 5/11/2020. Redacted Transcript Deadline set for 5/21/2020. Release of Transcript Restriction set for 7/19/2020. (KEK) |
| Filing 40 Transcript of Proceedings held on 3/5/2020, before Judge Madeline Hughes Haikala. Court Reporter/Transcriber Leah Turner. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. NOTICE: The parties have seven (7) calendar days to file with the Court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript will be made remotely electronically available to the public without redaction after 90 calendar days. (A copy can be obtained at http://www.alnd.uscourts.gov/local/court%20forms/transcripts/Transcript% 20Redaction%20Policy.pdf) See Transcript Redaction Policy Redaction Request due 5/11/2020. Redacted Transcript Deadline set for 5/21/2020. Release of Transcript Restriction set for 7/19/2020. (KEK) |
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Filing 39
TEXT ORDER: Pinnacle Financial Services has filed a motion to dismiss, or in the alternative transfer, for lack of personal jurisdiction. (Doc. #37 ). Pinnacle also has filed a motion to recover against the bond. (Doc. #38 ). On or before April 23, 2020, 401K Safe shall file its response to these motions; Pinnacle may file its reply on or before April 30, 2020. Signed by Judge Madeline Hughes Haikala on 4/9/2020. (KEK)
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| Filing 38 MOTION for Bond to Recover Against Bond by Pinnacle Financial Services Inc. (Adams, James) |
| Filing 37 MOTION to Dismiss for Lack of Jurisdiction or, Alternatively, to Transfer This Action by Pinnacle Financial Services Inc. (Attachments: #1 Exhibit Declaration of T. Key)(Dyess, Jeffrey) |
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Filing 36
TEXT ORDER: The Court grants PFS's unopposed motion for extension of time. (Doc. #34 ). PFS shall please respond to the Amended Complaint on or before 4/8/2020. Signed by Judge Madeline Hughes Haikala on 4/2/2020. (YMB)
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| Filing 35 REPLY to re 21 , #17 Supplement to Motion for Admission PHV of Marc J. Gross filed by Pinnacle Financial Services Inc. (Attachments: #1 Exhibit Updated Certificate of Good Standing)(Dyess, Jeffrey) |
| Filing 34 First MOTION for Extension of Time Unopposed by Pinnacle Financial Services Inc. (Adams, James) |
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Filing 33
ORDER. Consistent with the discussion on the record during the March 30, 2020 evidentiary hearing in this matter, the Court vacates the order of injunctive relief that appears at Doc. 5. Signed by Judge Madeline Hughes Haikala on March 30, 2020. (Haikala, Madeline)
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| Filing 32 MOTION for Leave to File by 401k Safe LLC. (Attachments: #1 exhibit emails)(Scott, Walter) |
| Filing 31 Evidentiary Material March 30, 2020 Hearing Exhibit List. (Attachments: #1 Exhibit Exhibit 1, #2 Exhibit Exhibit 2, #3 Exhibit Exhibit 3, #4 Exhibit Exhibit 4, #5 Exhibit Exhibit 5, #6 Exhibit Exhibit 6, #7 Exhibit Exhibit 7, #8 Exhibit Exhibit 8)(Dyess, Jeffrey) |
| Filing 30 MOTION re 23 Order,, Set Hearings, Motion to Adopt Adverse Inference by Pinnacle Financial Services Inc. (Attachments: #1 Exhibit Exh 1 - March 230, 2020 Letter of PFS Counsel M Gross)(Dyess, Jeffrey) |
| Filing 29 MOTION for Leave to File evidence for hearing by 401k Safe LLC. (Attachments: #1 Exhibit)(Scott, Walter) |
| Minute Entry for proceedings held before Judge Madeline Hughes Haikala: Telephonic Evidentiary Hearing held on 3/30/2020. Plff's testimony. Oral arguments. Court's findings stated on the record. Adj. (Court Reporter Leah Turner.) (YMB) |
| Filing 28 BOND; Supersedeas Bond APPROVED by CLERK in the amount of $ 100,000.00 posted by by 401k Safe LLC. (KEK) |
| Filing 27 NOTICE by 401k Safe LLC Notice of Filing of Bond (Scott, Walter) |
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Filing 26
STANDING ORDER FOR CIVIL CASES PENDING BEFORE JUDGE HAIKALA. Signed by Judge Madeline Hughes Haikala on 3/24/20. (MRR, )
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| Filing 25 NOTICE by 401k Safe LLC Notice of Efforts to Obtain Bond (Attachments: #1 Exhibit Ex A)(Scott, Walter) |
| Filing 24 Emergency MOTION for Bond to Compel Compliance with Order Requiring Bond by Pinnacle Financial Services Inc. (Attachments: #1 Exhibit Declaration of M. Gross)(Dyess, Jeffrey) |
| Minute Entry for proceedings held before Judge Madeline Hughes Haikala: Telephone Conference held on 3/25/2020. (Court Reporter Leah Turner.) (YMB) |
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Filing 23
TEXT ORDER: Per the discussion on the record during the March 24, 2020 telephone conference in this matter, the Court sets the matter for an evidentiary hearing on Monday, March 30, 2020 at 10:00 a.m. Signed by Judge Madeline Hughes Haikala on 03/24/2020. (ZTC)
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Filing 22
TEXT ORDER: Consistent with the discussion on the record during the March 24, 2020 telephone conference, the Court sets this matter for a telephone conference on March 25, 2020 at 3:00 p.m. Counsel of record and the parties may participate by dialing 877-873-8018 and entering code 5313999. Signed by Judge Madeline Hughes Haikala on 03/24/2020. (ZTC)
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Filing 21
TEXT ORDER: Contingent on payment of fee and submission of updated certificate of good standing, the Court grants Attorney Jeffrey Dyess' motion to admit Marc J. Gross pro hac vice in this action. (Doc. #17 ). Signed by Judge Madeline Hughes Haikala on 3/24/2020. (YMB)
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| Filing 20 Second MOTION for Leave to File Motion to Allow Introduction of Evidence by 401k Safe LLC. (Scott, Walter) |
| Filing 19 RESPONSE in Opposition re #15 Emergency MOTION to Expedite to Allow 401k Safe to Transfer Plans to Third Parties for Plan Administration and Cross-Motion to Vacate Temporary Restraining Order as to Defendant filed by Pinnacle Financial Services Inc. (Attachments: #1 Exhibit Declaration of M. Salerno)(Dyess, Jeffrey) |
| Filing 18 MOTION for Leave to File Motion to Allow Introduction of Evidence by 401k Safe LLC. (Scott, Walter) |
| Filing 17 MOTION for Leave to Appear Pro Hac Vice for Marc J. Gross by Pinnacle Financial Services Inc. (Attachments: #1 Exhibit 1 - Certificate of Good Standing, #2 Exhibit 2 - Declaration of Marc Gross ISO Motion for PHV)(Dyess, Jeffrey) |
| PHV Fee paid for Marc J. Gross in the amount of $75.00, receipt number B4601104996. (JLC) |
| Minute Entry for proceedings held before Judge Madeline Hughes Haikala: Telephonic Evidentiary Hearing held on 3/24/2020. (Court Reporter Leah Turner.) (YMB) |
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Filing 16
TEXT ORDER: Consistent with the discussion on the record during the March 23, 2020 telephone conference, the Court sets this matter for a telephone conference on March 24, 2020 at 3:00 p.m. Counsel of record and the parties may participate by dialing 877-873-8018 and entering code 5313999. Signed by Judge Madeline Hughes Haikala on 03/23/2020. (ZTC)
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| Filing 15 Emergency MOTION to Expedite to Allow 401k Safe to Transfer Plans to Third Parties for Plan Administration by 401k Safe LLC. (Attachments: #1 Affidavit Affidavit of Jim Sharp)(Scott, Walter) |
| Minute Entry for proceedings held before Judge Madeline Hughes Haikala: Telephone Conference held on 3/23/2020. (Court Reporter Teresa Roberson.) (YMB) |
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Filing 14
TEXT ORDER: The Court has previously entered a temporary restraining order. (Doc. #5 ). Pursuant to Fed. R. Civ. P. Rule 65 (c), the Court has the discretion to require movant to give a security in an amount "proper to pay the costs and damages" that would be sustained by the non-movant if wrongfully enjoined. PFS has asked the Court to set a bond of $875,000. (Doc. #7 ). 401K Safe has requested a bond of $1,500. (Doc. #10 ). Having considered the parties' submissions, the Court directs 401K Safe to post a bond in the amount of $100,000. The Court asks the Clerk to please terminate Docs. #7 and #10 . Signed by Judge Madeline Hughes Haikala on 3/20/2020. (KEK)
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Filing 13
TEXT ORDER: The Court sets this matter for a telephone conference on Monday, March 23, 2020 at 1:00 p.m. to discuss scheduling an evidentiary hearing on the motion for preliminary injunction. Counsel of records shall please dial 877-873-8018 and enter code 5313999 to participate. Signed by Judge Madeline Hughes Haikala on 3/20/2020. (KEK)
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| Filing 12 REPLY to re #7 , #10 Defendant's Reply on Doc 7 and Opposition to Doc 10 filed by Pinnacle Financial Services Inc. (Dyess, Jeffrey) |
| Filing 11 STATUS REPORT (Joint) by Pinnacle Financial Services Inc. filed by Pinnacle Financial Services Inc (Dyess, Jeffrey) |
| Filing 10 MOTION for Bond by 401k Safe LLC. (Scott, Walter) |
| Filing 9 ***Document Sealed - Declaration of Michael Salerno by Pinnacle Financial Services Inc. (KEK) |
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Filing 8
TEXT ORDER: The Court grants defendant's unopposed motion to file a document under seal. (Doc. #6 ). If the Court determines that some or all of the information contained in the document should not remain under seal, the Court will give the parties notice and an opportunity to be heard. Signed by Judge Madeline Hughes Haikala on 3/18/2020. (YMB)
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| Filing 7 MOTION for Bond on Temporary Restraining Order by Pinnacle Financial Services Inc. (Attachments: #1 Exhibit Decl. of M. Salerno (to be filed under seal))(Dyess, Jeffrey) |
| Filing 6 MOTION to Seal Document and for Protective Order by Pinnacle Financial Services Inc. (Dyess, Jeffrey) |
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Filing 5
ORDER - Consistent with the discussion on the record during the March 5, 2020 and March 9, 2020 telephone conferences in this matter, to prevent harm to the non-party plan sponsors that require the services that 401k Safe and Pinnacle provide, the Court grants the motion for temporary restraining order and orders as follows to maintain the status quo pending mediation. Signed by Judge Madeline Hughes Haikala on 3/10/2020. (KEK)
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| Filing Fee: Filing fee $ 400, receipt_number 1126-3554089 (ALND B4601104727) related document #1 NOTICE OF REMOVAL by Pinnacle Financial Services Inc from Circuit Court of Jefferson County, Alabama, case number 01-cv-2020-900762, filed by Pinnacle Financial Services Inc. (Attachments: # 1 Exhibit 1)(KEK). (Adams, James) Modified on 3/10/2020 (KEK). |
| Minute Entry for proceedings held before Judge Madeline Hughes Haikala: Telephone Conference held on 3/9/2020. (Court Reporter Leah Turner.) (YMB) |
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Filing 4
TEXT ORDER: The Court sets this matter for a telephone conference on Monday, March 9, 2020 at 10:30 a.m. Counsel of record shall please dial (877) 873-8018 and enter code 5313999 to participate in the call. Signed by Judge Madeline Hughes Haikala on 3/6/2020. (KEK)
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| Filing 3 Opposition to re #2 Amended and Corrected Oppotion to Motion for Temporary Restraining Order filed by Pinnacle Financial Services Inc. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Dyess, Jeffrey) |
| Filing 2 Brief re #1 Notice of Removal Opposition to Motion for Temporary Restraining Order. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Dyess, Jeffrey) |
| Filing 1 NOTICE OF REMOVAL by Pinnacle Financial Services Inc from Circuit Court of Jefferson County, Alabama, case number 01-cv-2020-900762, filed by Pinnacle Financial Services Inc. (Attachments: #1 Exhibit 1)(KEK) |
| Minute Entry for proceedings held before Judge Madeline Hughes Haikala: Telephone Conference held on 3/5/2020. (Court Reporter Leah Turner.) (YMB) |
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