Scottsdale Capital Advisors v. Financial Industry Regulatory
| SCOTTSDALE CAPITAL ADVISORS CORPORATION, JOHN J. HURRY, TIMOTHY B. DIBLASI and DARREL MICHAEL CRUZ |
| FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. |
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION |
| 16-1497 |
| May 3, 2016 |
| U.S. Court of Appeals, Fourth Circuit |
| Securities, Commodities, Exchange |
Docket Report
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| Filing 49 SUPREME COURT REMARK--petition for writ of certiorari denied. 04/24/2017 [16-1497] SJC [Entered: 04/24/2017 02:44 PM] |
| Filing 48 SUPREME COURT REMARK--petition for writ of certiorari filed. 03/16/2017. 16-1124. [16-1497] SJC [Entered: 03/20/2017 10:54 AM] |
| Filing 47 Mandate issued referencing: [ # 44 ] Published Authored Opinion, [ # 46 ] Judgment Order. Originating case number: 8:16-cv-00860-DKC. [16-1497] ALC [Entered: 01/11/2017 08:48 AM] |
| Filing 46 JUDGMENT ORDER filed. Disposition method: opn.p.arg. Decision: Affirmed. Originating case number: 8:16-cv-00860-DKC. Entered on Docket Date: 12/20/2016. [999990529] Copies to all parties and the district court. [16-1497] ALC [Entered: 12/20/2016 09:08 AM] |
| Filing 45 OPINION ATTACHMENT. [16-1497] ALC [Entered: 12/20/2016 09:06 AM] |
| Filing 44 PUBLISHED AUTHORED OPINION filed. Originating case number: 8:16-cv-00860-DKC. [999990522]. [16-1497] ALC [Entered: 12/20/2016 09:05 AM] |
| Filing 43 ORAL ARGUMENT heard before the Honorable Diana Gribbon Motz, Robert B. King and Allyson K. Duncan. Attorneys arguing case: Mr. Jonathan S. Franklin for Appellants Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. DiBlasi and Darrel Michael Cruz, Mr. Timothy Wilson Mountz for Appellee Financial Industry Regulatory Authority, Inc., and Mr. Martin V. Totaro for Amicus Supporting Appellee SEC. Courtroom Deputy: Sarah Carr. [999957214] [16-1497] SCC [Entered: 10/28/2016 10:38 AM] |
| Filing 42 ORAL ARGUMENT ACKNOWLEDGMENT by Amicus Supporting Appellee SEC. Counsel arguing: Martin Totaro Answering argument time: 7 [999937269] [16-1497] Martin Totaro [Entered: 09/28/2016 11:30 AM] |
| Filing 41 SUPPLEMENTAL AUTHORITIES (FRAP 28(j)) by Amicus Supporting Appellee SEC. [999926421]. [16-1497] Martin Totaro [Entered: 09/09/2016 01:33 PM] |
| Filing 40 ORAL ARGUMENT ACKNOWLEDGMENT by Amicus Supporting Appellee SEC. Counsel arguing: Josephine Morse [999912501] [16-1497] Josephine Morse [Entered: 08/17/2016 03:11 PM] |
| Filing 39 COURT ORDER filed [999912412] granting Motion to participate in oral argument [ # 36 ]. Copies to all parties. [16-1497] ALC [Entered: 08/17/2016 02:11 PM] |
| Filing 37 ORAL ARGUMENT ACKNOWLEDGMENT by Appellee Financial Industry Regulatory Authority, Inc.. [999910986] [16-1497] Timothy Mountz [Entered: 08/16/2016 09:42 AM] |
| Filing 36 MOTION by Amicus Supporting Appellee SEC to participate in oral argument. Date and method of service: 08/15/2016 ecf. [999910734] [16-1497] Martin Totaro [Entered: 08/15/2016 05:29 PM] |
| Filing 35 APPEARANCE OF COUNSEL (Local Rule 46(c)) by Josephine Morse for SEC.[999910147] [16-1497] Josephine Morse [Entered: 08/15/2016 12:20 PM] |
| Filing 38 REPLY BRIEF (PAPER) file-stamped, on behalf of Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation. Number of pages: [27]. Sufficient: YES. Number of Copies: [4]. Entered on Docket Date: 08/16/2016. Received by clerk date: 08/16/2016. [999911303] [16-1497] ALC [Entered: 08/16/2016 12:07 PM] |
| Filing 34 Additional copies of AMICUS BRIEF received from SEC. [16-1497] ALC [Entered: 08/12/2016 04:06 PM] |
| Filing 33 BRIEF by Appellants Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation in electronic and paper format. Type of Brief: REPLY. Method of Filing Paper Copies: mail. Date Paper Copies Mailed, Dispatched, or Delivered to Court: 08/15/2016. [999909546] [16-1497] Jonathan Franklin [Entered: 08/12/2016 02:45 PM] |
| Filing 32 ORAL ARGUMENT ACKNOWLEDGMENT by Appellants Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation. Counsel arguing: Jonathan S. Franklin Opening argument time: 15 minutes Rebuttal argument time: 5 minutes [999909060] [16-1497] Jonathan Franklin [Entered: 08/11/2016 04:09 PM] |
| Filing 31 CASE CALENDARED for oral argument. Date: 10/28/2016. Registration Time: 7:45 - 8:00. Daily Arguments Begin: 8:30. Oral argument acknowledgment form due within 5 days. [16-1497] JLC [Entered: 08/11/2016 03:33 PM] |
| Filing 30 Additional copies of RESPONSE BRIEF received from Financial Industry Regulatory Authority, Inc. [16-1497] AD [Entered: 08/11/2016 11:06 AM] |
| Filing 29 COPY FOLLOW-UP NOTICE issued to SEC and Financial Industry Regulatory Authority, Inc. requesting additional copies of Response brief and Amicus Brief. Additional copies due 08/15/2016 [16-1497] AD [Entered: 08/10/2016 02:31 PM] |
| Filing 28 Additional copies of OPENING BRIEF and JOINT APPENDIX received from Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation. [16-1497] AC [Entered: 08/04/2016 10:24 AM] |
Filing 26
ORDER filed [999903333] granting filing of amicus curiae brief (FRAP 29(e)). Disclosure Statement filed? N/A. Appearance Form filed? Y. Copies to all parties. [16-1497] ALC [Entered: 08/03/2016 07:43 AM]
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| Filing 27 AMICUS CURIAE BRIEF (PAPER) file-stamped, on behalf of SEC. Number of pages: [64]. Number of Copies: [1]. Entered on Docket Date: 08/03/2016. Received by clerk date: 08/03/2016. [999903810] [16-1497] ALC [Entered: 08/03/2016 12:59 PM] |
| Filing 25 CASE TENTATIVELY CALENDARED for oral argument during the October 25-28, 2016 argument session. Notify Clerk's Office of any scheduling conflict by: 08/03/2016 [16-1497] PSC [Entered: 08/02/2016 08:15 PM] |
| Filing 24 AMICUS CURIAE/INTERVENOR BRIEF by Securities & Exchange Commission in electronic and paper format. Type of Brief: Amicus Curiae. Method of Filing Paper Copies: courier. Date Paper Copies Mailed, Dispatched, or Delivered to Court: 08/02/2016. [999902943] [16-1497] Martin Totaro [Entered: 08/02/2016 02:16 PM] |
| Filing 23 RESPONSE BRIEF (PAPER) file-stamped, on behalf of Financial Industry Regulatory Authority, Inc.. Number of pages: [51]. Sufficient: YES. Number of Copies: [1]. Entered on Docket Date: 07/29/2016. Received by clerk date: 07/28/2016. [999900059] [16-1497] TW [Entered: 07/29/2016 08:52 AM] |
| Filing 22 BRIEF by Appellee Financial Industry Regulatory Authority, Inc. in electronic and paper format. Type of Brief: RESPONSE. Method of Filing Paper Copies: hand delivery. Date Paper Copies Mailed, Dispatched, or Delivered to Court: 07/28/2016. [999899908] [16-1497] Terri Reicher [Entered: 07/28/2016 04:46 PM] |
| Filing 21 APPENDIX (PAPER) file-stamped, on behalf of Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation. Total number of volumes (including any sealed): 1. Total number of pages in all volumes: 195. Total number of sealed volumes: 0. Sufficient? Yes. CD/DVD/Other exhibit? No. Number of Copies: 1. Entered on Docket Date: 06/27/2016. Received by clerk date: 06/27/2016. [999869596] [16-1497] ALC [Entered: 06/27/2016 01:09 PM] |
| Filing 20 OPENING BRIEF (PAPER) file-stamped, on behalf of Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation. Number of pages: [47]. Sufficient: YES. Number of Copies: [1]. Entered on Docket Date: 06/27/2016. Received by clerk date: 06/27/2016. [999869587] [16-1497] ALC [Entered: 06/27/2016 01:07 PM] |
| Filing 19 FULL ELECTRONIC APPENDIX and full paper appendix by Appellants Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation. Method of Filing Paper Copies: mail. Date paper copies mailed dispatched or delivered to court: 06/24/2016. [999867602] [16-1497] Jonathan Franklin [Entered: 06/24/2016 03:10 PM] |
| Filing 18 BRIEF by Appellants Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation in electronic and paper format. Type of Brief: OPENING. Method of Filing Paper Copies: mail. Date Paper Copies Mailed, Dispatched, or Delivered to Court: 06/24/2016. [999867577] [16-1497] Jonathan Franklin [Entered: 06/24/2016 03:03 PM] |
| Filing 17 BRIEFING ORDER filed. Mailed to: Matthew Kirtland. Opening Brief and Appendix due 06/27/2016. Response Brief due 07/28/2016. [16-1497] ALC [Entered: 05/16/2016 02:14 PM] |
| Filing 16 COURT ORDER filed [999823847] denying Motions to expedite decision [ # 9 ]; accelerate case processing [ # 9 ]. Copies to all parties. Mailed to: Matthew Kirtland. [16-1497] ALC [Entered: 05/16/2016 02:12 PM] |
| Filing 15 REPLY by Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation to Response [ # 14 ], Motion to accelerate case processing [ # 9 ], Motion to expedite decision [ # 9 ].. [16-1497] Jonathan Franklin [Entered: 05/06/2016 12:24 PM] |
| Filing 14 RESPONSE/ANSWER by Financial Industry Regulatory Authority, Inc. to Motion to accelerate case processing [ # 9 ], Motion to expedite decision [ # 9 ]. Nature of response: in opposition. [16-1497] Terri Reicher [Entered: 05/05/2016 05:25 PM] |
| Filing 13 DISCLOSURE OF CORPORATE AFFILIATIONS (Local Rule 26.1) by Appellee Financial Industry Regulatory Authority, Inc.. Was any question on Disclosure Form answered yes? No [999814439] [16-1497] Terri Reicher [Entered: 05/05/2016 05:23 PM] |
| Filing 12 APPEARANCE OF COUNSEL (Local Rule 46(c)) by Terri L. Reicher for Financial Industry Regulatory Authority, Inc..[999814436] [16-1497] Terri Reicher [Entered: 05/05/2016 05:23 PM] |
| Filing 11 APPEARANCE OF COUNSEL (Local Rule 46(c)) by Timothy W. Mountz for Financial Industry Regulatory Authority, Inc..[999814435] [16-1497] Terri Reicher [Entered: 05/05/2016 05:22 PM] |
| Filing 10 NOTICE ISSUED to Mr. Timothy Wilson Mountz for Financial Industry Regulatory Authority, Inc. and Ms. Terri Lee Reicher for Financial Industry Regulatory Authority, Inc. requesting response to Motion to accelerate case processing [ # 9 ], Motion to expedite decision [ # 9 ]Response due: 05/05/2016[999812113].. [16-1497] PSC [Entered: 05/03/2016 06:36 PM] |
| Filing 9 MOTION by Appellants Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation to accelerate case processing., to expedite decision. Date and method of service: 05/03/2016 ecf, Courier delivery. [999811644] [16-1497] Jonathan Franklin [Entered: 05/03/2016 02:26 PM] |
| Filing 8 DOCKETING STATEMENT by Appellants Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation. [16-1497] Jonathan Franklin [Entered: 05/03/2016 02:20 PM] |
| Filing 7 DISCLOSURE OF CORPORATE AFFILIATIONS (Local Rule 26.1) by Appellant John J. Hurry. Was any question on Disclosure Form answered yes? No [999811614] [16-1497] Jonathan Franklin [Entered: 05/03/2016 02:16 PM] |
| Filing 6 DISCLOSURE OF CORPORATE AFFILIATIONS (Local Rule 26.1) by Appellant Timothy B. DiBlasi. Was any question on Disclosure Form answered yes? No [999811612] [16-1497] Jonathan Franklin [Entered: 05/03/2016 02:16 PM] |
| Filing 5 DISCLOSURE OF CORPORATE AFFILIATIONS (Local Rule 26.1) by Appellant Darrel Michael Cruz. Was any question on Disclosure Form answered yes? No [999811610] [16-1497] Jonathan Franklin [Entered: 05/03/2016 02:15 PM] |
| Filing 4 DISCLOSURE OF CORPORATE AFFILIATIONS (Local Rule 26.1) by Appellant Scottsdale Capital Advisors Corporation. Was any question on Disclosure Form answered yes? Yes [999811608] [16-1497] Jonathan Franklin [Entered: 05/03/2016 02:14 PM] |
| Filing 3 APPEARANCE OF COUNSEL (Local Rule 46(c)) by Jonathan S. Franklin for Darrel Michael Cruz, Timothy B. DiBlasi, John J. Hurry and Scottsdale Capital Advisors Corporation.[999811602] [16-1497] Jonathan Franklin [Entered: 05/03/2016 02:10 PM] |
| Filing 2 DOCKETING NOTICE issued Re: [ # 1 ] case docketed. Initial forms due within 14 days. Originating case number: 8:16-cv-00860-DKC. Mailed to: Matthew Kirtland. [16-1497] ALC [Entered: 05/03/2016 11:24 AM] |
| Filing 1 Case docketed. Originating case number: 8:16-cv-00860-DKC. Case manager: ACarlheim. [16-1497] ALC [Entered: 05/03/2016 11:17 AM] |
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