Scottsdale Capital Advisors v. FINRA
| Financial Industry Regulatory Authority |
| Scottsdale Capital Advisors Corporation |
| 19-7073 |
| July 30, 2019 |
| U.S. Court of Appeals, D.C. Circuit |
| Other |
Docket Report
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| MANDATE ISSUED to Clerk, U.S. District Court. [19-7073] [Entered: 07/28/2020 04:39 PM] |
| PER CURIAM JUDGMENT [1848158] filed (without memorandum) that the decision of the district court be AFFIRMED. (SEE JUDGMENT FOR DETAILS) withholding issuance of the mandate. Before Judges: Tatel, Griffith and Katsas. [19-7073] [Entered: 06/19/2020 11:09 AM] |
| CLERK'S ORDER [1836882] filed dismissing as moot motion to allow pro hac vice attorney [ # 1836447-2 ]. It appears counsel became a member of the bar of this Court on November 15, 2019. [19-7073] [Entered: 04/06/2020 12:27 PM] |
| PER CURIAM ORDER [1836886] filed that the court will dispose of the appeal without oral argument on the basis of the record and presentations in the briefs pursuant to Fed. R. App. 34(a)(2); D.C.Cir.Rule 34(j). Before Judges: Tatel, Griffith and Katsas. [19-7073] [Entered: 04/06/2020 01:01 PM] |
| ENTRY OF APPEARANCE [1836945] filed by Maranda E. Fritz and co-counsel Joseph A. Smith on behalf of Appellant Scottsdale Capital Advisors Corporation. [19-7073] (Fritz, Maranda) [Entered: 04/06/2020 04:36 PM] |
| MOTION [1836447] to allow pro hac vice attorney filed by Scottsdale Capital Advisors Corporation (Service Date: 04/02/2020 by CM/ECF NDA) Length Certification: 85 Words. [19-7073] (Smith, Joseph) [Entered: 04/02/2020 11:02 AM] |
| APPELLEE FINAL BRIEF [1835159] filed by FINRA [Service Date: 03/25/2020 ] Length of Brief: 6,215. [19-7073] (Reicher, Terri) [Entered: 03/25/2020 10:28 AM] |
| APPELLANT FINAL REPLY BRIEF [1835357] filed by Scottsdale Capital Advisors Corporation [Service Date: 03/25/2020 ] Length of Brief: 25 pages. [19-7073] (Smith, Joseph) [Entered: 03/25/2020 04:49 PM] |
| APPELLANT FINAL BRIEF [1835360] filed by Scottsdale Capital Advisors Corporation [Service Date: 03/25/2020 ] Length of Brief: 30 pages. [19-7073] (Smith, Joseph) [Entered: 03/25/2020 04:52 PM] |
| NOTICE [1834190] sent regarding oral argument matter. [19-7073] [Entered: 03/18/2020 05:56 PM] |
| PER CURIAM ORDER [1833401] filed denying appellant's unopposed motion to postpone oral argument [ # 1833097-2 ]. Oral argument in this case remains scheduled for May 4, 2020. [19-7073] [Entered: 03/13/2020 12:13 PM] |
| CLERK'S ORDER [1832968] filed scheduling oral argument on Monday, 05/04/2020. [19-7073] [Entered: 03/11/2020 11:39 AM] |
| JOINT APPENDIX [1833013] filed by Scottsdale Capital Advisors Corporation. [Volumes: 1] [Service Date: 03/11/2020 ] [19-7073] (Smith, Joseph) [Entered: 03/11/2020 02:09 PM] |
| UNOPPOSED MOTION [1833097] to postpone oral argument filed by Scottsdale Capital Advisors Corporation [Service Date: 03/11/2020 ] Length Certification: 5 Pages. [19-7073] (Smith, Joseph) [Entered: 03/11/2020 04:24 PM] |
| APPELLANT REPLY BRIEF [1831825] filed by Scottsdale Capital Advisors Corporation [Service Date: 03/04/2020 ] Length of Brief: 25 pages. [19-7073] (Smith, Joseph) [Entered: 03/04/2020 05:18 PM] |
| CORRECTED APPELLEE BRIEF [1828533] filed by FINRA [Service Date: 02/13/2020 ] Length of Brief: 6275. [19-7073] (Reicher, Terri) [Entered: 02/13/2020 04:53 PM] |
| APPELLEE BRIEF [1828291] filed by FINRA [Service Date: 02/12/2020 ] Length of Brief: 6275. [19-7073] (Reicher, Terri) [Entered: 02/12/2020 03:14 PM] |
| CORRECTED APPELLANT BRIEF [1824115] filed by Scottsdale Capital Advisors Corporation [Service Date: 01/14/2020 ] Length of Brief: 30 pages. [19-7073] (Smith, Joseph) [Entered: 01/14/2020 02:59 PM] |
| APPELLANT BRIEF [1823922] filed by Scottsdale Capital Advisors Corporation [Service Date: 01/13/2020 ] Length of Brief: 30 pages. [19-7073] (Smith, Joseph) [Entered: 01/13/2020 04:33 PM] |
| CLERK'S ORDER [1815363] filed granting appellant's unopposed motion to extend time [ # 1814316-2 ], The following revised briefing schedule will now apply: APPELLANT Brief due 01/13/2020. APPELLEE Brief due on 02/12/2020. APPELLANT Reply Brief due 03/04/2020. DEFERRED APPENDIX due 03/11/2020. Final Briefs due 03/25/2020. [19-7073] [Entered: 11/12/2019 05:55 PM] |
| CERTIFICATE OF COMPLIANCE WITH TYPE-VOLUME LIMITS [1814524] for motion to extend time [ # 1814316-2 ] filed by Scottsdale Capital Advisors Corporation. [19-7073] (Smith, Joseph) [Entered: 11/06/2019 09:45 AM] |
| UNOPPOSED MOTION [1814316] to extend time to file brief to 01/13/2020 filed by Scottsdale Capital Advisors Corporation [Service Date: 11/05/2019 ] Length Certification: 390 words.. [19-7073] (Smith, Joseph) [Entered: 11/05/2019 10:17 AM] |
| CLERK'S ORDER [1808998] filed setting briefing schedule: APPELLANT Brief due 11/12/2019. APPELLEE Brief due on 12/12/2019. APPELLANT Reply Brief due 01/02/2020. DEFERRED APPENDIX due 01/09/2020. Final Briefs due 01/23/2020. [19-7073] [Entered: 10/02/2019 11:57 AM] |
| AMENDED ENTRY OF APPEARANCE [1808886] filed by Timothy W. Mountz and co-counsel Terri L. Reicher on behalf of Appellee FINRA. [19-7073] (Reicher, Terri) [Entered: 10/01/2019 03:39 PM] |
| STATEMENT OF ISSUES [1804168] filed by Scottsdale Capital Advisors Corporation [Service Date: 08/29/2019 ] [19-7073] (Smith, Joseph) [Entered: 08/29/2019 10:17 AM] |
| DOCKETING STATEMENT [1804165] filed by Scottsdale Capital Advisors Corporation [Service Date: 08/29/2019 ] [19-7073] (Smith, Joseph) [Entered: 08/29/2019 10:15 AM] |
| CERTIFICATE AS TO PARTIES, RULINGS AND RELATED CASES [1804162] filed by Scottsdale Capital Advisors Corporation [Service Date: 08/29/2019 ] [19-7073] (Smith, Joseph) [Entered: 08/29/2019 10:09 AM] |
| UNDERLYING DECISION IN CASE [1804170] submitted by Scottsdale Capital Advisors Corporation [Service Date: 08/29/2019 ] [19-7073] (Smith, Joseph) [Entered: 08/29/2019 10:18 AM] |
| ENTRY OF APPEARANCE [1804163] filed by Joseph A. Smith and co-counsel Maranda Fritz; Brian Lanciault on behalf of Appellant Scottsdale Capital Advisors Corporation. [19-7073] (Smith, Joseph) [Entered: 08/29/2019 10:12 AM] |
| ENTRY OF APPEARANCE [1804195] filed by Terri L. Reicher and co-counsel Timothy W. Mountz on behalf of Appellee FINRA. [19-7073] (Reicher, Terri) [Entered: 08/29/2019 11:18 AM] |
| TRANSCRIPT STATUS REPORT [1804174] filed by Scottsdale Capital Advisors Corporation [Service Date: 08/29/2019 ]. Status of Transcripts: Final - No transcripts are needed for the appeal. [19-7073] (Smith, Joseph) [Entered: 08/29/2019 10:21 AM] |
| CERTIFICATE AS TO PARTIES, RULINGS AND RELATED CASES [1804199] filed by FINRA [Service Date: 08/29/2019 ] [19-7073] (Reicher, Terri) [Entered: 08/29/2019 11:26 AM] |
| STATEMENT OF INTENT REGARDING APPENDIX DEFERRAL [1804209] filed by Scottsdale Capital Advisors Corporation [Service Date: 08/29/2019 ] Intent: AppxDeferred [19-7073] (Smith, Joseph) [Entered: 08/29/2019 12:02 PM] |
| NOTICE OF APPEAL [1799750] seeking review of a decision by the U.S. District Court in 1:18-cv-02973-CRC filed by Scottsdale Capital Advisors Corporation. Appeal assigned USCA Case Number: 19-7073. [19-7073] [Entered: 07/30/2019 01:36 PM] |
| LETTER [1799752] sent regarding attorney membership to Joseph Andrew Smith for Scottsdale Capital Advisors Corporation. Application for Admission due 08/29/2019. [19-7073] [Entered: 07/30/2019 01:37 PM] |
| CLERK'S ORDER [1799756] filed directing party to file initial submissions: APPELLANT docketing statement due 08/29/2019. APPELLANT certificate as to parties due 08/29/2019. APPELLANT statement of issues due 08/29/2019. APPELLANT underlying decision due 08/29/2019. APPELLANT deferred appendix statement due 08/29/2019. APPELLANT notice of appearance due 08/29/2019. APPELLANT transcript status report due 08/29/2019. APPELLANT procedural motions due 08/29/2019. APPELLANT dispositive motions due 09/13/2019; directing party to file initial submissions: APPELLEE certificate as to parties due 08/29/2019. APPELLEE entry of appearance due 08/29/2019. APPELLEE procedural motions due 08/29/2019. APPELLEE dispositive motions due 09/13/2019 [19-7073] [Entered: 07/30/2019 01:40 PM] |
| PRIVATE CIVIL CASE docketed. [19-7073] [Entered: 07/30/2019 01:35 PM] |
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