High Ridge Futures, LLC v. Nefertiti Risk Capital Management, LLC
Plaintiff: High Ridge Futures, LLC, Howard Rothman, Robert Boshnack, John Felag, Joshua Herritt and Gerard Lazzara
Defendant: Nefertiti Risk Capital Management, LLC
Case Number: 3:2024cv00641
Filed: April 5, 2024
Court: U.S. District Court for the District of Connecticut
Presiding Judge: Michael P Shea
Referring Judge: S Dave Vatti
Nature of Suit: Other Statutes: Arbitration
Cause of Action: 28 U.S.C. § 1442 Notice of Removal
Jury Demanded By: None
Docket Report

This docket was last retrieved on May 10, 2024. A more recent docket listing may be available from PACER.

Date Filed Document Text
May 10, 2024 Filing 17 Disclosure Statement and Citizenship of Parties in Diversity Cases by Robert Boshnack, John Felag, Joshua Herritt, High Ridge Futures, LLC, Gerard Lazzara, Howard Rothman identifying Corporate Parent High Ridge Holding Company, LLC for High Ridge Futures, LLC. (Roth, David)
May 10, 2024 Filing 16 NOTICE of Appearance by David R. Roth on behalf of Robert Boshnack, John Felag, Joshua Herritt, High Ridge Futures, LLC, Gerard Lazzara, Howard Rothman (Roth, David)
May 10, 2024 Filing 15 NOTICE of Appearance by Robert S. Hoff on behalf of High Ridge Futures, LLC, Howard Rothman, Robert Boshnack, John Felag, Joshua Herritt, Gerard Lazzara (Hoff, Robert)
April 30, 2024 Filing 14 Disclosure Statement of Citizenship in accordance with the Order on 4/16/24 by Nefertiti Risk Capital Management, LLC. (Pierce, Aaron)
April 16, 2024 Opinion or Order Filing 13 ORDER. Defendant Nefertiti Risk Capital Management, LLC ("NRCM") claims that this Court has subject matter jurisdiction over this case, in part, because it has diversity jurisdiction under 28 U.S.C. 1332. "[F]or purposes of diversity jurisdiction, a limited liability company has the citizenship of its membership." Handelsman v. Bedford Vill. Assocs. Ltd. P'ship, 213 F.3d 48, 51-52 (2d Cir. 2000) (internal citations omitted). Neither the place of organization nor the principal place of business determines an LLC's citizenship for the purposes of diversity jurisdiction. Under this District's Standing Order on Removed Cases, each LLC must file a disclosure statement that "provide[s] citizenship information about that party's members." See also Order Re: Disclosure Statement (December 19, 2022) (requiring corporate entities to file a statement regarding stock ownership and citizenship "with its initial pleading filed in the court"). The Notice of Removal alleges that some of Plaintiff High Ridge Futures, LLC's ("High Ridge") members are residents of Connecticut and Texas. ECF No. 1 211. The Application to Confirm Arbitration Award (the "Application"), attached to the Notice of Removal, lists several High Ridge members, who "reside[] in" Connecticut, New York, and Texas. ECF No. 1-1 4-8. Regarding Defendant NRCM, the Notice of Removal states that NRCM was "dissolved and wound-up," but prior to its dissolution NRCM was "a New York LLC." ECF No. 1 224. NRCM claims that Samantha Siva Kumaran is the "real party of interest" in this case as the "sole successor-in-interest and individual[] named in the [arbitration] award." Id. 1, 191. The Notice of Removal does not set forth Ms. Kumaran's citizenship, but does state that "neither Kumaran nor NRCM are citizens of the state of Connecticut." Id. 212. The Application states that NRCM "is a limited liability company organized under the laws of New York with its principal place of business in New York." ECF No. 1-1 9.These allegations are insufficient to establish diversity of citizenship. As to Plaintiff High Ridge, the Notice of Removal and Application indicate that its members reside in Connecticut, New York, and Texas, but none of the filings mention the citizenship of these members. Citizenship is different from mere residence. To be a citizen of a state for the purposes of diversity jurisdiction, an individual "must both be a citizen of the United States and be domiciled within the State." Newman-Green, Inc. v. Alfonzo-Larrain, 490 U.S. 826, 828 (1989). In addition, it is unclear from the filings whether there are other members of High Ridge that are not listed. As to Defendant NRCM, the filings do not indicate the citizenship of its members. Nor is it sufficient for NRCM to allege that it is not a citizen of Connecticut. "Blanket assertions that the members of an LLC are not citizens of a non-diverse state are insufficient to establish complete diversity." Greater N.Y. Mut. Ins. Co. v. Robbins Eye Ctr., PC, No. 3:19-cv-01741 (MPS) (April 24, 2020) (ECF No. 12); see also Avant Cap. Partners, LLC v. W108 Dev. LLC, No. 16-cv-3359, 2016 WL 3660756, at *2 (S.D.N.Y. Jun 30, 2016) ("The blanket assertion that none of [defendant LLC]'s members resides in Connecticut [does not] suffice."). Such allegations are also insufficient because the filings indicate that High Ridge is also a citizen of Texas and New York, not just Connecticut. The defendant shall file a statement of citizenship on or by April 30, 2024. The statement should affirmatively set forth the citizenship of each LLC's members. For any LLC member that is itself an LLC, the defendant must provide the citizenship of that LLC (and so on, until a non-LLC member is identified and sufficient facts are provided to identify the citizenship of that member). If the defendant cannot do so, it may take limited discovery aimed at identifying citizenship of the plaintiff's members. Signed by Judge Michael P Shea on 4/16/2024. (Pierson, M)
April 11, 2024 Opinion or Order Filing 12 ORDER OF TRANSFER: The Honorable Judge Jeffrey A. Meyer hereby transfers the above-identified case to the docket of THE HONORABLE Michael P. Shea for all purposes. All future pleadings and filings in this case shall bear docket number3:24CV641 (MPS). Pleadings or documents related to this action shall be filed with the Clerks Office in Hartford, Connecticut, where the docket is maintained. [See Local Rule 3(a).] Signed by Judge Jeffrey A. Meyer on 4/11/2024.(Lewis, D)
April 8, 2024 Filing 11 Disclosure Statement Rule 7.1 No Corporate Parent by Nefertiti Risk Capital Management, LLC. (Pierce, Aaron)
April 8, 2024 Filing 10 NOTICE of Appearance by Aaron H Pierce on behalf of Nefertiti Risk Capital Management, LLC (Attachments: #1 Exhibit New York Certificate of Good Standing)(Pierce, Aaron)
April 8, 2024 Opinion or Order Filing 9 ORDER granting #2 Motion to Appear Pro Hac Vice for Attorney Aaron H. Pierce. Certificate of Good Standing due by 6/7/2024. Signed by Clerk on 4/8/2024. (Chartier, A.)
April 8, 2024 Filing 8 NOTICE TO COUNSEL/SELF-REPRESENTED PARTIES : Counsel or self-represented parties initiating or removing this action are responsible for serving all parties with attached documents and copies of #4 Order on Pretrial Deadlines, #6 Standing Protective Order, #5 Electronic Filing Order, #1 Notice of Removal, filed by Nefertiti Risk Capital Management, LLC, 3 Notice re: Disclosure Statement, #2 MOTION for Attorney(s) Aaron H. Pierce to be Admitted Pro Hac Vice (paid $200 PHV fee; receipt number ACTDC-7713620) filed by Nefertiti Risk Capital Management, LLC, #7 Notice of Option to Consent to Magistrate Judge Jurisdiction Signed by Clerk on 4/8/2024. (Attachments: #1 Standing Order on Removed Cases)(Chartier, A.)
April 5, 2024 Filing 7 Notice of Option to Consent to Magistrate Judge Jurisdiction. (Chartier, A.)
April 5, 2024 Opinion or Order Filing 6 Standing Protective Order Signed by Judge Jeffrey A. Meyer on 4/5/2024.(Chartier, A.)
April 5, 2024 Opinion or Order Filing 5 ELECTRONIC FILING ORDER FOR COUNSEL - PLEASE ENSURE COMPLIANCE WITH COURTESY COPY REQUIREMENTS IN THIS ORDER Signed by Judge Jeffrey A. Meyer on 4/5/2024.(Chartier, A.)
April 5, 2024 Opinion or Order Filing 4 Order on Pretrial Deadlines: Amended Pleadings due by 6/4/2024 Discovery due by 10/5/2024 Dispositive Motions due by 11/9/2024 Signed by Clerk on 4/5/2024.(Chartier, A.)
April 5, 2024 Filing 3 Notice: Pursuant to Federal Rule of Civil Procedure 7.1, a disclosure statement must be filed with a party's first appearance, pleading, petition, motion, response, or other request addressed to the Court and must be supplemented if any required information changes during the case. Signed by Clerk on 4/5/2024.(Maturo, F.)
April 5, 2024 Judge Jeffrey A. Meyer and Judge S. Dave Vatti added. (Freberg, B)
April 5, 2024 Filing 2 MOTION for Attorney(s) Aaron H. Pierce to be Admitted Pro Hac Vice (paid $200 PHV fee; receipt number ACTDC-7713620) by Nefertiti Risk Capital Management, LLC. (Attachments: #1 A-Affidavit of Aaron H. Pierce)(Strecker, Daniel)
April 5, 2024 Filing 1 NOTICE OF REMOVAL by Nefertiti Risk Capital Management, LLC from Superior Court, Connecticut, case number FSTCV-24-6064775-S. Filing fee $ 405 receipt number BCTDC-7713574, filed by Nefertiti Risk Capital Management, LLC. (Attachments: #1 Exhibit A-Summons and Application to Confirm Arbitration Award, #2 Civil Cover Sheet)(Strecker, Daniel)

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Plaintiff: High Ridge Futures, LLC
Represented By: David R. Roth
Represented By: Robert S. Hoff
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Plaintiff: Howard Rothman
Represented By: David R. Roth
Represented By: Robert S. Hoff
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Plaintiff: Robert Boshnack
Represented By: David R. Roth
Represented By: Robert S. Hoff
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Plaintiff: John Felag
Represented By: David R. Roth
Represented By: Robert S. Hoff
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Plaintiff: Joshua Herritt
Represented By: David R. Roth
Represented By: Robert S. Hoff
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Plaintiff: Gerard Lazzara
Represented By: David R. Roth
Represented By: Robert S. Hoff
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Defendant: Nefertiti Risk Capital Management, LLC
Represented By: Daniel R. Strecker
Represented By: Aaron H Pierce
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