Kelly Milligan v. Merrill Lynch, Pierce, Fenner & Smith, Inc.
| KELLY MILLIGAN, on behalf of himself and all others similarly situated |
| MERRILL LYNCH, PIERCE, FENNER & SMITH, INCORPORATED, BANK OF AMERICA CORPORATION and JOHN/JANE DOE 1, the Senior Vice President-Human Resources Global Banking and Global Wealth and Investment Management Administration at Bank of America Corp. |
| SOCIETY FOR HUMAN RESOURCE MANAGEMENT, THE CHAMBER OF COMMERCE OF THE UNITED STATES OF AMERICA, THE CENTER ON EXECUTIVE COMPENSATION, THE AMERICAN BENEFITS COUNCIL, THE ERISA INDUSTRY COMMITTEE and SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION |
| 25-1385 |
| April 14, 2025 |
| U.S. Court of Appeals, Fourth Circuit |
| Employee Retirement |
Opinions
We have the following opinions for this case:
| Description |
|---|
 Milligan v. Merrill Lynch, Pierce, Fenner & Smith, Inc.
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Docket Report
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This docket was last retrieved on October 10, 2025. A more recent docket listing may be available from PACER.
| Document Text |
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| Filing 66 CASE CONTINUED FROM TENTATIVE CALENDAR. [1001858168] [25-1385] NS [Entered: 10/10/2025 08:19 AM] |
| Filing 65 SUPPLEMENTAL AUTHORITIES by Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Bank of America Corporation. [1001853384] . [25-1385] Michael Kenneally [Entered: 10/02/2025 01:52 PM] |
| Filing 63 RULE 46 NOTICE issued to Mr. Andrew John Pincus for American Benefits Council, The Chamber of Commerce of the United States of America, Erisa Industry Committee, and The Center on Executive Compensation for failure to file paper copies. Paper copies due 09/22/2025. [1001844275] [25-1385] KS [Entered: 09/18/2025 07:53 AM] |
| Filing 56 RESPONSE/ANSWER by The Chamber of Commerce of the United States of America, The Center on Executive Compensation, American Benefits Council and Erisa Industry Committee to Notice requesting response to similar case inquiry. Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO. [1001841577] [25-1385] Andrew Pincus [Entered: 09/15/2025 11:00 AM] |
| Filing 55 RESPONSE/ANSWER by Securities Industry and Financial Markets Association to Notice requesting response to similar case inquiry. Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO. [1001841516] [25-1385] Robert Loeb [Entered: 09/15/2025 10:13 AM] |
| Filing 54 RULE 46 NOTICE issued to Robert Mark Loeb for Securities Industry and Financial Markets Association, and Andrew John Pincus for American Benefits Council, The Chamber of Commerce of the United States of America, Erisa Industry Committee, and The Center on Executive Compensation for failure to file response. Requested document due 09/18/2025. [1001841335] [25-1385] KS [Entered: 09/15/2025 09:06 AM] |
| Filing 53 NOTICE REGARDING CONFLICT WITH PROPOSED ARGUMENT DATES by Appellees Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Bank of America Corporation. Argument Session: 12/25. Days you are available: January 27-30, 2026. Identify any other cases you are tentatively scheduled to argue this session: Undersigned counsel has a Supreme Court argument likely to be scheduled either 12/1-12/3 or 12/8-12/10, but the date will not be announced until October. Other scheduling information: Given the potential conflict identified above, counsel respectfully requests that this argument be continued to the Court's 1/27-30 session, when counsel has no conflicts. [1001841173] [25-1385] Michael Kenneally [Entered: 09/12/2025 05:50 PM] |
| Filing 52 RESPONSE/ANSWER by Society for Human Resource Management to Notice requesting response to similar case inquiry. Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO. [1001839148] [25-1385] Ian Morrison [Entered: 09/10/2025 03:55 PM] |
| Filing 49 RESPONSE/ANSWER by Kelly Milligan to Notice requesting response to similar case inquiry. Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO. [1001838843] [25-1385] John Edwards [Entered: 09/10/2025 12:37 PM] |
| Filing 48 RESPONSE/ANSWER by Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Bank of America Corporation to Notice requesting response to similar case inquiry. Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO. [1001838010] [25-1385] Michael Kenneally [Entered: 09/09/2025 01:25 PM] |
| Filing 47 NOTICE ISSUED to American Benefits Council, Erisa Industry Committee, Securities Industry and Financial Markets Association, Society for Human Resource Management, The Center on Executive Compensation, The Chamber of Commerce of the United States of America, Kelly Milligan, Bank of America Corporation, and Merrill Lynch, Pierce, Fenner & Smith, Incorporated requesting response to similar case(s) question. [1001836503] Response to similar case notice due 09/11/2025. [25-1385] KS [Entered: 09/08/2025 10:04 AM] |
| Filing 46 CASE TENTATIVELY CALENDARED for oral argument during the December 9-12, 2025, argument session. Notify Clerk's Office of any scheduling conflict by: 09/15/2025. Any required additional copies of briefs and joint appendices are due 09/15/2025. [1001836440] [25-1385] NS [Entered: 09/08/2025 09:43 AM] |
| Filing 62 Receipt of paper copy of SEALED BRIEF filed at [43] by Kelly Milligan. Type of brief: REPLY. Number of pages: [39]. Number of copies: [4]. Filed ex parte: No. Received by clerk date: 09/12/2025. [1001844158] [25-1385] KS [Entered: 09/17/2025 05:22 PM] |
| Filing 61 Receipt of paper copy of redacted REPLY BRIEF filed at [ # 42 ] by Kelly Milligan. Number of pages: [39]. Sufficient: Yes. Number of Copies: [4]. Received by clerk date: 09/12/2025. [1001844156] [25-1385] KS [Entered: 09/17/2025 05:20 PM] |
Filing 45
ORDER filed sealing the sealed reply brief. Copies to all parties. [1001831768] [25-1385] AW [Entered: 08/28/2025 02:56 PM]
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| Filing 44 CERTIFICATE OF CONFIDENTIALITY (Local Rule 25(c)) by Kelly Milligan. Sealing Required: Yes. Description of document referenced by certificate: Reply Brief. [1001831663] [25-1385] Mathew Jasinski [Entered: 08/28/2025 01:12 PM] |
| Filing 43 SEALED BRIEF (court access only) by Kelly Milligan . Type of Brief: SEALED REPLY. . Filed Ex parte: N. Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO.. [1001831660] [25-1385] Mathew Jasinski [Entered: 08/28/2025 01:11 PM] |
| Filing 42 Redacted BRIEF by Kelly Milligan. Type of Brief: REPLY. . Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO.. [1001831658] [25-1385] Mathew Jasinski [Entered: 08/28/2025 01:09 PM] |
| Filing 64 Receipt of paper copy of AMICUS BRIEF filed at [ # 33 ] by American Benefits Council, Erisa Industry Committee, The Center on Executive Compensation and The Chamber of Commerce of the United States of America. Number of pages: [36]. Sufficient: Yes. Number of copies: [4]. Received by clerk date: 09/19/2025. [1001848495] [25-1385] KH [Entered: 09/24/2025 05:56 PM] |
| Filing 57 Receipt of paper copy of AMICUS BRIEF filed at [ # 30 ] by Society for Human Resource Management. Number of pages: [35]. Sufficient: Yes. Number of copies: [4]. Received by clerk date: 09/12/2025. [1001843224] [25-1385] KS [Entered: 09/17/2025 08:21 AM] |
| Filing 41 Receipt of paper copy of AMICUS BRIEF filed at [ # 34 ] by Securities Industry and Financial Markets Association. Number of pages: [23]. Sufficient: Yes. Number of copies: [4]. Received by clerk date: 08/07/2025. [1001819158] [25-1385] KS [Entered: 08/07/2025 12:40 PM] |
| Filing 40 DISCLOSURE STATEMENT by Securities Industry and Financial Markets Association. Was any question on Disclosure Form answered yes? No. [1001817117] [25-1385] KS [Entered: 08/04/2025 05:16 PM] |
| Filing 39 APPEARANCE OF COUNSEL by Robert Mark Loeb for Securities Industry and Financial Markets Association. [1001817115] [25-1385] KS [Entered: 08/04/2025 05:15 PM] |
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Filing 38
ORDER filed granting filing of amicus curiae brief by Securities Industry and Financial Markets Association. Disclosure Statement filed (if corporate amicus)? Y. Appearance Form filed? Y. Copies to all parties. [1001817113] [25-1385]--[Edited 08/04/2025 by KS - clarified docket text] KS [Entered: 08/04/2025 05:13 PM]
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| Filing 37 DISCLOSURE STATEMENTS by The American Benefits Council, The ERISA Industry Committee, The Center on Executive Compensation, and The Chamber of Commerce of the United States of America. Was any question on Disclosure Form answered yes? No. [1001817107] [25-1385] KS [Entered: 08/04/2025 05:05 PM] |
| Filing 36 APPEARANCE OF COUNSEL by Andrew John Pincus for The American Benefits Council, The ERISA Industry Committee, The Center on Executive Compensation, and The Chamber of Commerce of the United States of America. [1001817104] [25-1385] KS [Entered: 08/04/2025 05:02 PM] |
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Filing 35
ORDER filed granting filing of amicus curiae brief by The Chamber of Commerce of the United States of America, The Center on Executive Compensation, The American Benefits Council, and The ERISA Industry Committee. Disclosure Statement filed (if corporate amicus)? Y. Appearance Form filed? Y. Copies to all parties. [1001817098] [25-1385]--[Edited 08/04/2025 by KS - clarified docket text] KS [Entered: 08/04/2025 04:58 PM]
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| Filing 34 AMICUS CURIAE BRIEF by Amicus Curiae Securities Industry and Financial Markets Association. . Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO.. [1001817052] [25-1385] Robert Loeb [Entered: 08/04/2025 04:38 PM] |
| Filing 33 AMICUS CURIAE BRIEF by The Chamber of Commerce of the United States of America, The Center on Executive Compensation, The American Benefits Council, and The ERISA Industry Committee. . Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO.. [1001817047] [25-1385] Andrew Pincus [Entered: 08/04/2025 04:36 PM] |
| Filing 32 APPEARANCE OF COUNSEL by Ian H. Morrison for Society for Human Resource Management. [1001817033] [25-1385] KS [Entered: 08/04/2025 04:19 PM] |
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Filing 31
ORDER filed granting filing of amicus curiae brief by Society for Human Resource Management. Disclosure Statement filed (if corporate amicus)? N/A. Appearance Form filed? Y. Copies to all parties. [1001817027] [25-1385]--[Edited 08/04/2025 by KS - clarified docket text] KS [Entered: 08/04/2025 04:16 PM]
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| Filing 30 AMICUS CURIAE BRIEF by Society for Human Resource Management. . Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO.. [1001816996] [25-1385] Ian Morrison [Entered: 08/04/2025 04:02 PM] |
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Filing 29
ORDER filed granting Motion to extend filing time [ # 28 ] Number of days granted: 10. Reply brief due 08/28/2025. No paper copies required unless case has been tentatively calendared or copies otherwise ordered. Copies to all parties. [1001816268] [25-1385] RP [Entered: 08/01/2025 03:57 PM]
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| Filing 28 MOTION by Kelly Milligan to extend filing time for reply brief until August 28, 2025.. Date and method of service: 08/01/2025 ecf. [1001816209] [25-1385] Mathew Jasinski [Entered: 08/01/2025 03:34 PM] |
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Filing 27
ORDER filed sealing the sealed response brief. Copies to all parties. [1001812682] [25-1385] KS [Entered: 07/29/2025 08:04 AM]
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| Filing 51 Receipt of paper copy of redacted RESPONSE BRIEF filed at [ # 25 ] by Bank of America Corporation and Merrill Lynch, Pierce, Fenner & Smith, Incorporated. Number of pages: [63]. Sufficient: YES. Number of Copies: [4]. Received by clerk date: 09/10/2025. [1001839025] [25-1385] KS [Entered: 09/10/2025 02:52 PM] |
| Filing 50 Receipt of paper copy of SEALED BRIEF filed at [24] by Bank of America Corporation and Merrill Lynch, Pierce, Fenner & Smith, Incorporated. Type of brief: RESPONSE. Number of pages: [64]. Number of copies: [4]. Filed ex parte: No. Received by clerk date: 09/10/2025. [1001839021] [25-1385] KS [Entered: 09/10/2025 02:51 PM] |
| Filing 26 CERTIFICATE OF CONFIDENTIALITY (Local Rule 25(c)) by Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Bank of America Corporation. Sealing Required: Yes. Description of document referenced by certificate: Brief of Appellees. [1001812589] [25-1385] Michael Kenneally [Entered: 07/28/2025 06:13 PM] |
| Filing 25 Redacted BRIEF by Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Bank of America Corporation. Type of Brief: RESPONSE. . Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO.. [1001812588] [25-1385] Michael Kenneally [Entered: 07/28/2025 06:10 PM] |
| Filing 24 SEALED BRIEF (court access only) by Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Bank of America Corporation . Type of Brief: SEALED RESPONSE. . Filed Ex parte: N. Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO.. [1001812587] [25-1385] Michael Kenneally [Entered: 07/28/2025 06:08 PM] |
| Filing 23 APPEARANCE OF COUNSEL by Matthew A. Russell for Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Bank of America Corporation. [1001782557] [25-1385] Matthew Russell [Entered: 06/05/2025 01:16 PM] |
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Filing 22
ORDER filed granting Motion to extend filing time [ # 21 ]. Number of days granted: 32. Response brief due 07/28/2025. No paper copies required unless case has been tentatively calendared or copies otherwise ordered. Copies to all parties. [1001782265] [25-1385] KS [Entered: 06/05/2025 08:11 AM]
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| Filing 21 MOTION by Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Bank of America Corporation to extend filing time for response brief until July 28, 2025.. Date and method of service: 06/04/2025 ecf. [1001782216] [25-1385] Michael Kenneally [Entered: 06/04/2025 05:28 PM] |
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Filing 20
ORDER filed sealing the sealed opening brief and volume II of the joint appendix. Copies to all parties. [1001778187] [25-1385] KS [Entered: 05/29/2025 08:34 AM]
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| Filing 19 CERTIFICATE OF CONFIDENTIALITY (Local Rule 25(c)) by Kelly Milligan. Sealing Required: Yes. Description of document referenced by certificate: Joint Appendix, Vol. 2; Opening Brief. [1001777102] [25-1385] Mathew Jasinski [Entered: 05/27/2025 05:13 PM] |
| Filing 18 SEALED JOINT APPENDIX VOLUME(S) (court access) by Bank of America Corporation, Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Kelly Milligan . Digital media exhibit volume? No. Filed Ex parte: N. [1001777100] [25-1385] Mathew Jasinski [Entered: 05/27/2025 05:12 PM] |
| Filing 17 SEALED BRIEF (court access only) by Kelly Milligan . Type of Brief: SEALED OPENING. . Filed Ex parte: N. Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO.. [1001777097] [25-1385] Mathew Jasinski [Entered: 05/27/2025 05:11 PM] |
| Filing 16 JOINT APPENDIX by Bank of America Corporation, Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Kelly Milligan. Digital media exhibit volume? No. [1001777094] [25-1385] Mathew Jasinski [Entered: 05/27/2025 05:10 PM] |
| Filing 15 BRIEF by Kelly Milligan. Type of Brief: OPENING. . Do any cases pending in this court or the Supreme Court of the United States raise similar issues? NO.. [1001777092] [25-1385] Mathew Jasinski [Entered: 05/27/2025 05:08 PM] |
| Filing 14 APPEARANCE OF COUNSEL by Robert A. Izard for Kelly Milligan. [1001776383] [25-1385] Robert Izard [Entered: 05/27/2025 09:26 AM] |
| Filing 13 APPEARANCE OF COUNSEL by Riley Breakell for Kelly Milligan. [1001773170] [25-1385] Riley Breakell [Entered: 05/20/2025 09:49 AM] |
| Filing 12 APPEARANCE OF COUNSEL by Andrew R. Hellman for Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Bank of America Corporation. [1001761978] [25-1385] Andrew Hellman [Entered: 04/29/2025 02:40 PM] |
| Filing 11 DISCLOSURE STATEMENT by Bank of America Corporation. Was any question on Disclosure Form answered yes? Yes [1001761210] [25-1385] Michael Kenneally [Entered: 04/28/2025 04:35 PM] |
| Filing 10 DISCLOSURE STATEMENT by Merrill Lynch, Pierce, Fenner & Smith, Incorporated. Was any question on Disclosure Form answered yes? Yes [1001761205] [25-1385] Michael Kenneally [Entered: 04/28/2025 04:34 PM] |
| Filing 9 APPEARANCE OF COUNSEL by Samuel S. Shaulson for Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Bank of America Corporation. [1001761180] [25-1385] Samuel Shaulson [Entered: 04/28/2025 04:26 PM] |
| Filing 8 APPEARANCE OF COUNSEL by Michael E. Kenneally for Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Bank of America Corporation. [1001761175] [25-1385] Michael Kenneally [Entered: 04/28/2025 04:24 PM] |
| Filing 7 DOCKETING STATEMENT by Kelly Milligan.. [1001760795] [25-1385] John Edwards [Entered: 04/28/2025 12:37 PM] |
| Filing 6 DISCLOSURE STATEMENT by Kelly Milligan. Was any question on Disclosure Form answered yes? No [1001760789] [25-1385] John Edwards [Entered: 04/28/2025 12:35 PM] |
| Filing 5 APPEARANCE OF COUNSEL by Mathew P. Jasinski for Kelly Milligan. [1001756798] [25-1385] Mathew Jasinski [Entered: 04/21/2025 04:01 PM] |
| Filing 4 APPEARANCE OF COUNSEL by John Saul Edwards, Jr. for Kelly Milligan. [1001753050] [25-1385] John Edwards [Entered: 04/14/2025 03:20 PM] |
| Filing 3 BRIEFING ORDER filed. Mailed to: Thomas R. Ajamie, Christopher M. Barrett, Kevin F. Gaffney, John David Hurst, Matthew Zane Johnson, Seth R. Klein, Douglas P. Needham, Craig A. Raabe, Matthew A. Russell, and Courtney Scobie. No paper copies required unless case has been tentatively calendared or copies otherwise ordered. All filings must comply with # Appendix Pagination & Brief Citation Guide . [1001752746] Opening Brief and Appendix due 05/27/2025. Response Brief due 06/26/2025. [25-1385] KS [Entered: 04/14/2025 11:15 AM] |
| Filing 2 DOCKETING NOTICE issued Re: [ # 1 ] case. Originating case number: 3:24-cv-00440-KDB-DCK. Mailed to: Thomas R. Ajamie, Christopher M. Barrett, Kevin F. Gaffney, John David Hurst, Matthew Zane Johnson, Seth R. Klein, Douglas P. Needham, Craig A. Raabe, Matthew A. Russell, and Courtney Scobie. [1001752741] [25-1385] KS [Entered: 04/14/2025 11:12 AM] |
| Filing 1 Case docketed. Originating case number: 3:24-cv-00440-KDB-DCK. Case manager: KStump. [1001752561] [25-1385] KS [Entered: 04/14/2025 09:46 AM] |
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