Richard Hofman v. Fidelity Brokerage Services LLC et al
| Richard Alan Hofman and Richard Hofman |
| Fidelity Brokerage Services LLC, Financial Industry Regulatory Authority, Inc., Depository Trust & Clearing Corporation, Depository Trust and Clearing Corporation and DOES 3-100 |
| 2:2023cv00881 |
| February 6, 2023 |
| US District Court for the Central District of California |
| Pedro V Castillo |
| Mark C Scarsi |
| Securities/Commodities |
| 28 U.S.C. § 1446 Notice of Removal |
| None |
Docket Report
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| Filing 56 First NOTICE OF MOTION AND MOTION to Join in Amended Complaint/Petition #29 , NOTICE OF MOTION AND MOTION for Leave to file third amended complaint filed by plaintiff Richard Hofman. Motion set for hearing on 5/15/2023 at 09:00 AM before Judge Mark C. Scarsi. (Hofman, Richard) |
Filing 55
TEXT ONLY ENTRY (IN CHAMBERS) ORDER TAKING MOTIONS UNDER SUBMISSION by Judge Mark C. Scarsi: The Court has considered the matters raised with respect to the Motion to Dismiss Case Second Amended Complaint Pursuant to FRCP 12(b)(6) filed by Defendant Financial Industry Regulatory Authority, Inc. (ECF No. #31 ), the Petition to Compel Arbitration filed by defendant Fidelity Brokerage Services LLC (ECF No. #33 ), the Motion to Dismiss Case filed by defendant Fidelity Brokerage Services LLC (ECF No. #34 ), and the Motion to Dismiss the Second Amended Complaint filed by Defendant Depository Trust and Clearing Corporation (ECF No. #36 ) and has concluded that pursuant to Local Rule 7.15, the matter can be decided without oral argument. The Court advises counsel that the Motion(s), noticed for hearing on April 17, 2023, have been taken under submission and off its motion calendar. No appearance by counsel is necessary. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (smo)
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| Filing 54 REPLY in support of PETITION to Compel Arbitration #33 filed by Defendant Fidelity Brokerage Services LLC. (O'Donnell, Alyssa) |
| Filing 53 DECLARATION of Alyssa D. O'Donnell in support of NOTICE OF MOTION AND MOTION to Dismiss Case and Memorandum of Points and Authorities in Support Thereof #34 , PETITION to Compel Arbitration #33 filed by Defendant Fidelity Brokerage Services LLC. (O'Donnell, Alyssa) |
| Filing 52 REPLY in support of motion NOTICE OF MOTION AND MOTION to Dismiss Case and Memorandum of Points and Authorities in Support Thereof #34 filed by Defendant Fidelity Brokerage Services LLC. (O'Donnell, Alyssa) |
| Filing 51 REPLY In Support of a Motion NOTICE OF MOTION AND MOTION to Dismiss the Second Amended Complaint #36 filed by Defendant Depository Trust and Clearing Corporation. (Weiss, Jonathan) |
| Filing 50 REPLY in support of NOTICE OF MOTION AND MOTION to Dismiss Case Second Amended Complaint Pursuant to FRCP 12(b)(6) #31 filed by Defendant Financial Industry Regulatory Authority, Inc.. (Werderitch, Lori) |
| Filing 49 NOTICE OF ERRATA filed by Defendant Financial Industry Regulatory Authority, Inc.. correcting NOTICE OF MOTION AND MOTION to Dismiss Case Second Amended Complaint Pursuant to FRCP 12(b)(6) #31 (Werderitch, Lori) |
| Filing 48 DECLARATION of richard hofman opp NOTICE OF MOTION AND MOTION to Dismiss Case Second Amended Complaint Pursuant to FRCP 12(b)(6) #31 , NOTICE OF MOTION AND MOTION to Dismiss the Second Amended Complaint #36 , NOTICE OF MOTION AND MOTION to Dismiss Case and Memorandum of Points and Authorities in Support Thereof #34 , PETITION to Compel Arbitration #33 filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 47 SUPPLEMENT filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 46 DECLARATION of richard hofman opp PETITION to Compel Arbitration #33 filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 45 oppositon opp re: PETITION to Compel Arbitration #33 filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 44 oppositon to mtd finra opp re: NOTICE OF MOTION AND MOTION to Dismiss Case Second Amended Complaint Pursuant to FRCP 12(b)(6) #31 filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 43 DECLARATION of richard hofman opp NOTICE OF MOTION AND MOTION to Dismiss Case Second Amended Complaint Pursuant to FRCP 12(b)(6) #31 filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 42 oppositon to mtd finra opp re: NOTICE OF MOTION AND MOTION to Dismiss Case Second Amended Complaint Pursuant to FRCP 12(b)(6) #31 filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 41 oppositon to mtd dtcc opp re: NOTICE OF MOTION AND MOTION to Dismiss the Second Amended Complaint #36 filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 40 DECLARATION of richard hofman opp NOTICE OF MOTION AND MOTION to Dismiss Case and Memorandum of Points and Authorities in Support Thereof #34 filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 39 oppositon to mtd fid opp re: NOTICE OF MOTION AND MOTION to Dismiss Case and Memorandum of Points and Authorities in Support Thereof #34 filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 38 OPPOSITION filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 37 DECLARATION of richard hofman NOTICE OF MOTION AND MOTION to Dismiss the Second Amended Complaint #36 filed by Plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 36 NOTICE OF MOTION AND MOTION to Dismiss the Second Amended Complaint filed by Defendant Depository Trust and Clearing Corporation. Motion set for hearing on 4/17/2023 at 09:00 AM before Judge Mark C. Scarsi. (Attachments: #1 Memorandum of Law, #2 Proposed Order) (Weiss, Jonathan) |
| Filing 35 REQUEST FOR JUDICIAL NOTICE re NOTICE OF MOTION AND MOTION to Dismiss Case and Memorandum of Points and Authorities in Support Thereof #34 filed by Defendant Fidelity Brokerage Services LLC. (Floren, Joseph) |
| Filing 34 NOTICE OF MOTION AND MOTION to Dismiss Case and Memorandum of Points and Authorities in Support Thereof filed by defendant Fidelity Brokerage Services LLC. Motion set for hearing on 4/17/2023 at 09:00 AM before Judge Mark C. Scarsi. (Attachments: #1 Proposed Order) (Floren, Joseph) |
| Filing 33 PETITION to Compel Arbitration filed by defendant Fidelity Brokerage Services LLC. (Attachments: #1 Memorandum of Points and Authorities, #2 Declaration of Deanna Kesseli, #3 Declaration of Alyssa O'Donnell, #4 Proposed Order) (Floren, Joseph) |
| Filing 32 REQUEST FOR JUDICIAL NOTICE re NOTICE OF MOTION AND MOTION to Dismiss Case Second Amended Complaint Pursuant to FRCP 12(b)(6) #31 filed by Defendant Financial Industry Regulatory Authority, Inc.. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit, #6 Exhibit, #7 Exhibit, #8 Exhibit, #9 Exhibit, #10 Exhibit, #11 Exhibit, #12 Exhibit, #13 Exhibit, #14 Exhibit, #15 Exhibit, #16 Exhibit, #17 Exhibit)(Werderitch, Lori) |
| Filing 31 NOTICE OF MOTION AND MOTION to Dismiss Case Second Amended Complaint Pursuant to FRCP 12(b)(6) filed by Defendant Financial Industry Regulatory Authority, Inc. Financial Industry Regulatory Authority, Inc.. Motion set for hearing on 4/17/2023 at 09:00 AM before Judge Mark C. Scarsi. (Attachments: #1 Proposed Order) (Werderitch, Lori) |
| Filing 30 Notice non availability filed by plaintiff Richard Hofman. (Hofman, Richard) |
| Filing 29 second amended AMENDED COMPLAINT against defendants All Defendants amending Amended Complaint, filed by plaintiff Richard Hofman(Hofman, Richard) |
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Filing 28
ORDER GRANTING JOINT STIPULATION REGARDING FILING OF SECOND AMENDED COMPLAINT AND TIME FOR RESPONSE THERETO (ECF No. #27 ) by Judge Mark C. Scarsi. 1. Plaintiff is granted leave to file his proposed Second Amended Complaint, which is attached as Exhibit A to the parties' joint stipulation regarding filing of Second Amended Complaint (the "SAC"). 2. Plaintiff is directed to file his SAC with the Court promptly. Plaintiff also shall file a "redline" version of the SAC as required by Initial Standing Order S13. 3. Defendants shall file their answers or motions in response to the SAC no later than 21 days from the date of this Order. (lom)
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| Filing 27 Joint STIPULATION for Leave to file Second Amended Complaint and Time for Response Thereto filed by Defendant Fidelity Brokerage Services LLC. (Attachments: #1 Exhibit A - Proposed Second Amended Complaint, #2 Proposed Order)(O'Donnell, Alyssa) |
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Filing 26
ORDER by Judge Mark C. Scarsi: granting #23 Non-Resident Attorney Margaret A. Dale APPLICATION to Appear Pro Hac Vice on behalf of Depository Trust and Clearing Corporation, designating Jonathan M Weiss as local counsel. (lom)
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| Filing 25 NOTICE of Interested Parties filed by Defendant Depository Trust and Clearing Corporation, (Weiss, Jonathan) |
| Filing 24 Notice of Appearance or Withdrawal of Counsel: for attorney Jonathan Michael Weiss counsel for Defendant Depository Trust and Clearing Corporation. Adding Jonathan M. Weiss as counsel of record for The Depository Trust & Clearing Corporation for the reason indicated in the G-123 Notice. Filed by Defendant The Depository Trust & Clearing Corporation. (Weiss, Jonathan) |
| Filing 23 APPLICATION of Non-Resident Attorney Margaret A. Dale to Appear Pro Hac Vice on behalf of Defendant Depository Trust and Clearing Corporation (Pro Hac Vice Fee - $500 Previously Paid on 2/16/2023, Receipt No. 34810662) filed by Defendant Depository Trust and Clearing Corporation. (Attachments: #1 Affidavit, #2 Proposed Order) (Weiss, Jonathan) |
| Filing 22 RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN FILED DOCUMENT RE: APPLICATION of Non-Resident Attorney Margaret A. Dale to Appear Pro Hac Vice on behalf of Defendant Depository Trust and Clearing Corporation (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-34810662) #20 by Judge Mark C. Scarsi. The document is stricken. (smo) |
| Filing 21 NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: APPLICATION of Non-Resident Attorney Margaret A. Dale to Appear Pro Hac Vice on behalf of Defendant Depository Trust and Clearing Corporation (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-34810662) #20 . The following error(s) was/were found: Proposed Order has not been flattened and is causing a corruption with the filing. (lt) |
| Filing 20 APPLICATION of Non-Resident Attorney Margaret A. Dale to Appear Pro Hac Vice on behalf of Defendant Depository Trust and Clearing Corporation (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-34810662) filed by Defendant Depository Trust and Clearing Corporation. (Attachments: #1 Affidavit, #2 Proposed Order) (Weiss, Jonathan) |
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Filing 19
ORDER ON STIPULATION TO EXTEND TIME FOR DEFENDANT DTCC TO RESPOND TO SECOND AMENDED COMPLAINT (ECF No. #18 ) by Judge Mark C. Scarsi. It is GRANTED IN PART as set forth herein: IT IS HEREBY ORDERED that Defendant Depository Trust & Clearing Corporation shall have an extension through and including February 27, 2023, to respond to the Second Amended Complaint. (lom)
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| Filing 18 STIPULATION Extending Time to Answer the complaint as to Depository Trust and Clearing Corporation answer now due 3/6/2023, re Amended Complaint filed by Defendant Depository Trust and Clearing Corporation. (Attachments: #1 Proposed Order)(Attorney Jonathan Michael Weiss added to party Depository Trust and Clearing Corporation(pty:dft))(Weiss, Jonathan) |
| Filing 17 NOTICE of Appearance filed by attorney Alyssa D O'Donnell on behalf of Defendant Fidelity Brokerage Services LLC (O'Donnell, Alyssa) |
| Filing 16 Notice filed by Defendant Financial Industry Regulatory Authority, Inc. Financial Industry Regulatory Authority, Inc.. Notice of Standing Civil Order, Judicial Assignment Notice and Notice re: Consent to Magistrate (Attachments: #1 Exhibit Notice of Assignment, #2 Exhibit Notice re Magistrate, #3 Exhibit Standing Civil Order)(Werderitch, Lori) |
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Filing 15
ORDER GRANTING JOINT STIPULATION TO EXTEND TIME FOR DEFENDANT FIDELITY BROKERAGESERVICES LLC TO RESPOND TO FIRST AMENDED COMPLAINT TO FEBRUARY 27, 2023 #11 by Judge Mark C. Scarsi. (lc)
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| Filing 14 NOTICE OF CLERICAL ERROR: Due to clerical error Re: Report of Determination of Patent/Trademark Action (CLOSE) (AO 120) #13 was docketed on this case in error should have be en under2:22-cv-7860 MCS GS Holistic vs St. Takla, Inc. (lc) |
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Filing 12
ORDER TO EXTEND TIME FOR DEFENDANT FINRA TO RESPOND TO FIRST AMENDED COMPLAINT TO FEBRUARY 27, 2023 #4 by Judge Mark C. Scarsi. (lc) Modified on 2/10/2023 (lc).
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| Filing 13 SEE CLERICAL ERROR- DOCKETED ON THIS CASE IN ERROR -SEE DOCKET NO. 14) REPORT ON THE DETERMINATION OF AN ACTION Regarding a Patent or Trademark. (Closing) (lc) Modified on 2/10/2023 (lc). |
| Filing 11 Joint STIPULATION Extending Time to Answer the complaint as to Fidelity Brokerage Services LLC answer now due 2/27/2023, re Amended Complaint filed by defendant Fidelity Brokerage Services LLC. (Attachments: #1 Declaration Of Joseph Floren In Support of Joint Stipulation, #2 Proposed Order)(Floren, Joseph) |
| Filing 10 NOTICE of Interested Parties filed by Defendant Fidelity Brokerage Services LLC, identifying Fidelity Global Brokerage Group, Inc.. (Floren, Joseph) |
| Filing 9 NOTICE of Appearance filed by attorney Joseph E Floren on behalf of Defendant Fidelity Brokerage Services LLC (Attorney Joseph E Floren added to party Fidelity Brokerage Services LLC(pty:dft))(Floren, Joseph) |
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Filing 8
INITIAL STANDING ORDER FOR CIVIL CASES ASSIGNED TO JUDGE MARK C. SCARSI upon filing of the complaint by Judge Mark C. Scarsi. (smo)
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| Filing 7 Notice to Counsel Re Consent to Proceed Before a United States Magistrate Judge. (jtil) |
| Filing 6 NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (jtil) |
| Filing 5 NOTICE OF ASSIGNMENT to District Judge Mark C. Scarsi and Magistrate Judge Pedro V. Castillo. (jtil) |
| CONFORMED COPY OF COMPLAINT filed by Plaintiff Richard Hofman in Los Angeles Superior Court on 12/15/2022, attached as Exhibit A. (jtil) |
| FIRST AMENDED COMPLAINT filed by Plaintiff Richard Hofman, attached as Exhibit A. (jtil) |
| Filing 4 Joint STIPULATION Extending Time to Answer the complaint as to filed by Defendant Financial Industry Regulatory Authority, Inc. Financial Industry Regulatory Authority, Inc.. (Attachments: #1 Proposed Order)(Werderitch, Lori) |
| Filing 3 NOTICE of Interested Parties filed by Defendant Financial Industry Regulatory Authority, Inc., (Werderitch, Lori) |
| Filing 2 CIVIL COVER SHEET filed by Defendant Financial Industry Regulatory Authority, Inc.. (Werderitch, Lori) |
| Filing 1 NOTICE OF REMOVAL from Superior Court of California, Los Angeles County, case number 22STCV38927 Receipt No: ACACDC-34745754 - Fee: $402, filed by Defendant Financial Industry Regulatory Authority, Inc.. (Attachments: #1 Exhibit A - Complaint, #2 Exhibit A - Summons, #3 Exhibit A - Amendments to Complaint (Doe 1 and 2), #4 Exhibit A - First Amended Complaint, #5 Exhibit A - Ex parte Application for Orders and OSC re Preliminary Injunction) (Attorney Lori L Werderitch added to party Financial Industry Regulatory Authority, Inc.(pty:dft))(Werderitch, Lori) |
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