SCOTTSDALE CAPITAL ADVISORS CORPORATION et al v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
| SCOTTSDALE CAPITAL ADVISORS CORPORATION and ALPINE SECURITIES CORPORATION |
| FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. |
| UNITED STATES OF AMERICA |
| 1:2023cv01506 |
| May 25, 2023 |
| US District Court for the District of Columbia |
| Beryl A Howell |
| Civil Rights: Other |
| 28 U.S.C. § 2201 Constitutionality of State Statute(s) |
| None |
Docket Report
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MINUTE ORDER (paperless) GRANTING plaintiffs' #96 Motion to Hold Proceedings in Abeyance Pending the D.C. Circuit's Resolution of the Pending Appeal and STAYING the SCHEDULING ORDER, issued on May 30, 2023, and all matters in this action until the D.C. Circuit renders its decision in Alpine Securities Corp. v. Financial Industry Regulatory Authority, Inc., No. 23-5129. "An appeal, including an interlocutory appeal, 'divests the district court of its control over those aspects of the case involved in the appeal.'" Coinbase, Inc. v. Bielski, 143 S. Ct. 1915, 1919 (2023) (quoting Griggs v. Provident Consumer Discount Co., 459 U.S. 56, 58 (1982)); accord Deering Milliken, Inc. v. FTC, 647 F.2d 1124, 1128 (D.C. Cir. 1978). Furthermore, a stay in one proceeding during the pendency of a separate proceeding is appropriate only when favored by balancing the factors of "the court's interests in judicial economy and any possible hardship to the parties." Belize Soc. Dev. Ltd. v. Gov't of Belize, 668 F.3d 724, 732-33 (D.C. Cir. 2012) (citing Landis v. N. Am. Co., 299 U.S. 248, 254-55 (1936)).Defendant Financial Industry Regulatory Authority, Inc.'s ("FINRA") #93 Motion to Dismiss rises and falls on whether FINRA is a state actor and thus is not subject to plaintiffs' constitutional claims, namely their separation of powers, Appointments Clause, and Fifth and Seventh Amendment claims. See Def.'s Mot. Dismiss at 10-20. By ordering briefing on the merits, the D.C. Circuit has announced its intention to consider and resolve that question on appeal, see Clerk's Order Filed Setting Briefing Schedule, Alpine Sec. Corp. v. FINRA, No. 23-5129, Doc. No. 2006425 (July 5, 2023); see also Per Curiam Order, Alpine Sec. Corp. v. FINRA, No. 23-5129, Doc. No. 2006351 at 7 (July 5, 2023) (Walker, J., concurring) ("There is a serious argument that FINRA hearing officers exercise significant executive power. And it is undisputed that they do not act under the President. That may be a constitutional problem."), which, at the very least, would provide helpful guidance to this Court in considering the arguments presented in FINRA's pending motion and would avoid duplicative appeals. Moreover, plaintiffs' private nondelegation doctrine claim is pleaded in the alternative, assuming that FINRA is a private actor, and thus may fall away if the D.C. Circuit deems FINRA a state actor. Although plaintiffs' remaining First Amendment claim is unrelated to the state actor doctrine, requiring full briefing and resolution of solely that count at this juncture would amount to an inefficient use of judicial resources if the D.C. Circuit finds that plaintiffs' other constitutional claims may proceed. Holding this case in abeyance places no hardship on the parties, given the D.C. Circuit's order enjoining FINRA from continuing the expedited enforcement proceeding against Alpine Securities Corp., the Circuit's ongoing consideration of the key issues in dispute, and FINRA's motion for en banc reconsideration currently pending before the Circuit. See Pet. for Rehearing En Banc, Alpine Sec. Corp. v. FINRA, No. 23-5129, Doc. No. 2008678 (July 19, 2023). As such, holding this case in abeyance before this Court is favorable. Signed by Judge Beryl A. Howell on July 26, 2023. (lcbah2)
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Filing 97
Memorandum in opposition to re #96 Motion to Hold in Abeyance filed by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.. (Attachments: #1 Text of Proposed Order)(Tayrani, Amir)
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Filing 96
MOTION to Hold in Abeyance Pending the D.C. Circuit's Resolution of the Pending Appeal by ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION. (Attachments: #1 Text of Proposed Order)(Thompson, David)
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Filing 95
MEMORANDUM by UNITED STATES OF AMERICA. (Pezzi, Stephen)
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Filing 94
ORDER of USCA as to #89 Notice of Appeal to DC Circuit Court, filed by ALPINE SECURITIES CORPORATION ; USCA Case Number 23-5129. (znmw)
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Filing 93
MOTION to Dismiss Second Amended Complaint by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.. (Attachments: #1 Text of Proposed Order)(Tayrani, Amir)
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Filing 92
TRANSCRIPT OF PROCEEDINGS before Judge Beryl A. Howell, held on 6-01-2023. Page Numbers: 1 - 118. Date of Issuance: 6-30-2023. Court Reporter: Elizabeth Saint-Loth, Telephone number: 202-354-3242. Transcripts may be ordered by submitting the #Transcript Order FormFor the first 90 days after this filing date, the transcript may be viewed at the courthouse at a public terminal or purchased from the court reporter referenced above. After 90 days, the transcript may be accessed via PACER. Other transcript formats, (multi-page, condensed, CD or ASCII) may be purchased from the court reporter.NOTICE RE REDACTION OF TRANSCRIPTS: The parties have twenty-one days to file with the court and the court reporter any request to redact personal identifiers from this transcript. If no such requests are filed, the transcript will be made available to the public via PACER without redaction after 90 days. The policy, which includes the five personal identifiers specifically covered, is located on our website at www.dcd.uscourts.gov. Redaction Request due 7/21/2023. Redacted Transcript Deadline set for 7/31/2023. Release of Transcript Restriction set for 9/28/2023.(Saint-Loth, Elizabeth)
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Filing 91
ORDER of USCA as to #89 Notice of Appeal to DC Circuit Court, filed by ALPINE SECURITIES CORPORATION ; USCA Case Number 23-5129. (znmw)
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Filing 90
Transmission of the Notice of Appeal, Order Appealed (Memorandum Opinion), and Docket Sheet to US Court of Appeals. The Court of Appeals fee was paid re #89 Notice of Appeal to DC Circuit Court. (zed)
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Filing 89
NOTICE OF APPEAL TO DC CIRCUIT COURT as to #88 Memorandum & Opinion, #87 Order on Motion for Reconsideration,, Order on Motion for TRO,, Order on Motion for Preliminary Injunction, by ALPINE SECURITIES CORPORATION. Filing fee $ 505, receipt number ADCDC-10124985. Fee Status: Fee Paid. Parties have been notified. (Thompson, David)
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USCA Case Number 23-5129 for #89 Notice of Appeal to DC Circuit Court, filed by ALPINE SECURITIES CORPORATION. (znmw)
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Filing 88
MEMORANDUM OPINION regarding plaintiff Alpine Securities Corporation's #65 Motion for Reconsideration of Minute Order Denying Emergency Preliminary Injunction Motion and plaintiff Alpine Securities Corporation's #66 Renewed Emergency Motion for Preliminary Injunction and Temporary Restraining Order. Signed by Judge Beryl A. Howell on June 7, 2023. (lcbah2)
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Filing 87
ORDER GRANTING plaintiff Alpine Securities Corporation's #65 Motion for Reconsideration of Minute Order Denying Emergency Preliminary Injunction Motion and DENYING plaintiff Alpine Securities Corporation's #66 Renewed Emergency Motion for Preliminary Injunction and Temporary Restraining Order. See Order for further details. Signed by Judge Beryl A. Howell on June 7, 2023. (lcbah2)
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Filing 86
RESPONSE to re #84 Supplemental Memorandum in response to the Court's June 1, 2023 Minute Order filed by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.. (Tayrani, Amir) Modified docket event/text on 6/5/2023 (zed).
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Filing 85
SUPPLEMENTAL MEMORANDUM to re #66 Emergency MOTION for Temporary Restraining Order and Preliminary Injunction MOTION for Preliminary Injunction filed by ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION. (Thompson, David)
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Filing 84
SUPPLEMENTAL MEMORANDUM to in response to the Court's June 1, 2023 Minute Order filed by ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION. (Thompson, David)
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Filing 83
SUPPLEMENTAL MEMORANDUM to in response to the Court's June 1, 2023 Minute Order filed by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.. (Tayrani, Amir)
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Filing 82
SUPPLEMENTAL MEMORANDUM to in response to the Court's June 1, 2023 Minute Order filed by UNITED STATES OF AMERICA. (Pezzi, Stephen)
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Filing 81
STANDING ORDER. Signed by Judge Beryl A. Howell on June 2, 2023. (lcbah2)
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Filing 80
NOTICE of Appearance by David Hayes on behalf of All Plaintiffs (Hayes, David)
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Filing 79
MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Maranda E. Fritz, Filing fee $ 100, receipt number ADCDC-10107615. Fee Status: Fee Paid. by ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION. (Attachments: #1 Affidavit Declaration of Maranda E. Fritz, #2 Exhibit Maranda E. Fritz Certificate of Good Standing New York, #3 Text of Proposed Order)(Thompson, David)
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Filing 78
NOTICE of Appearance by Kenneth Turkel on behalf of All Plaintiffs (Turkel, Kenneth)
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MINUTE ORDER (paperless) GRANTING plaintiffs' #79 Motion for Admission of Attorney Pro Hac Vice. Maranda E. Fritz may enter an appearance pro hac vice for the purpose of representing plaintiffs in this action. Counsel should register for e-filing via PACER and file a notice of appearance pursuant to LCvR 83.6(a). #Click for instructions. Signed by Judge Beryl A. Howell on June 1, 2023. (lcbah2)
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Minute Entry for proceedings held before Judge Beryl A. Howell: Motion Hearing held on 6/1/2023 re #66 Emergency MOTION for Temporary Restraining Order filed by ALPINE SECURITIES CORPORATION. (Court Reporter Elizabeth Saint-Loth.) (ztg)
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MINUTE ORDER (paperless) DIRECTING parties to submit, by 5 PM on June 2, 2023, supplemental briefs on the following: (1) the consequences should FINRA be considered a state actor, including the specific impact on FINRA, on similarly organized entities, the Securities and Exchange Commission, including the functions and ability of these entities to initiate and resolve enforcement actions, and (2) as to plaintiffs' First Amendment claim, (a) the validity of plaintiffs' claim, absent any allegation regarding "expressive purpose" to support their challenge to mandatory FINRA membership, and (b) the public interest supporting the federal government's mandate, see 15 U.S.C. § 78o(a)(1), (b)(1). Any response shall be due by 9 PM tomorrow, June 2, 2023. Signed by Judge Beryl A. Howell on June 1, 2023. (lcbah2)
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Filing 77
NOTICE of Appearance by Brian W. Barnes on behalf of ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION (Barnes, Brian)
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Filing 76
MOTION for Leave to Appear Pro Hac Vice :Attorney Name- David Hayes, Filing fee $ 100, receipt number ADCDC-10106613. Fee Status: Fee Paid. by ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION. (Attachments: #1 Affidavit Declaration of David Hayes, #2 Exhibit David Hayes Certificate of Good Standing Florida, #3 Text of Proposed Order)(Thompson, David)
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Filing 75
MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Kenneth Turkel, Filing fee $ 100, receipt number ADCDC-10106569. Fee Status: Fee Paid. by ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION. (Attachments: #1 Affidavit Declaration of Kenneth Turkel, #2 Exhibit Kenneth Turkel Certificate of Good Standing Florida, #3 Text of Proposed Order)(Thompson, David)
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Filing 74
MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Brian W. Barnes, Filing fee $ 100, receipt number ADCDC-10104845. Fee Status: Fee Paid. by ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION. (Attachments: #1 Affidavit Declaration of Brian W. Barnes, #2 Exhibit Brian W. Barnes Certificate of Good Standing DC, #3 Text of Proposed Order)(Thompson, David)
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Filing 73
Joint MOTION to Reschedule Preliminary Injunction Hearing by ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION. (Thompson, David)
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NOTICE OF HEARING re #66 Emergency MOTION for Temporary Restraining Order and Preliminary Injunction. The parties shall take notice that a Motion Hearing is scheduled for today, May 31, 2023, at 1:30 PM in Courtroom 26A- IN PERSON before Judge Beryl A. Howell. (ztg)
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MINUTE ORDER (paperless) GRANTING plaintiffs' #74 Motion for Admission of Attorney Brian W. Barnes Pro Hac Vice, #75 Motion for Admission of Attorney Kenneth Turkel Pro Hac Vice, and #76 Motion for Admission of Attorney David Hayes Pro Hac Vice. Brian W. Barnes, Kenneth Turkel, and David Hayes may enter appearances pro hac vice for the purpose of representing plaintiffs in this action. Counsel should register for e-filing via PACER and file a notice of appearance pursuant to LCvR 83.6(a). #Click for instructions. Signed by Judge Beryl A. Howell on May 31, 2023. (lcbah2)
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MINUTE ORDER granting #73 Joint Motion to Reschedule Preliminary Injunction Hearing. Upon consideration of the joint motion, it is hereby ORDERED that the Motion Hearing currently scheduled for May 31, 2023, shall be RESCHEDULED for June 1, 2023, at 2:00 PM in Courtroom 26A- In Person before Judge Beryl A. Howell. Signed by Judge Beryl A. Howell on 5/31/2023. (ztg)
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Filing 72
REPLY to opposition to motion re #66 Emergency MOTION for Temporary Restraining Order and Preliminary Injunction filed by ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION. (Attachments: #1 Exhibit 1 - 2023-05-22 Scottsdale v. FINRA Rough Transcript)(Thompson, David)
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Filing 71
REPLY to opposition to motion re #65 MOTION for Reconsideration re Order on Motion for Preliminary Injunction,,,,,,, Order on Motion to Dismiss,,,,,, filed by ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION. (Thompson, David)
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Filing 70
Memorandum in opposition to re #66 Motion for TRO filed by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.. (Attachments: #1 Exhibit A, #2 Exhibit B)(Tayrani, Amir)
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Filing 69
Memorandum in opposition to re #65 Motion for Reconsideration filed by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.. (Tayrani, Amir)
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Filing 68
MEMORANDUM by UNITED STATES OF AMERICA. (Pezzi, Stephen)
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Filing 67
Joint MOTION for Briefing Schedule by ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION. (Thompson, David)
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Filing 66
Emergency MOTION for Temporary Restraining Order and MOTION for Preliminary Injunction by ALPINE SECURITIES CORPORATION. (Attachments: #1 Text of Proposed Order, #2 LCvR 65.1 Certificate)(Thompson, David). Added MOTION for Preliminary Injunction on 6/2/2023 (zed).
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Filing 65
MOTION for Reconsideration re Order on Motion for Preliminary Injunction,,,,,,, Order on Motion to Dismiss,,,,,, by ALPINE SECURITIES CORPORATION. (Thompson, David)
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Set/Reset Deadlines: Defendants' response to #65 Motion for Reconsideration of Minute Order Denying Emergency Preliminary Injunction Motion and #66 Renewed Emergency Motion for Preliminary Injunction and Temporary Restraining Order due by 5:00 PM today, 5/30/2023; plaintiffs' reply due by 9:00 PM today, 5/30/2023. (ztg)
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MINUTE ORDER (paperless) DIRECTING 1) defendants to file any response to plaintiffs' #65 Motion for Reconsideration of Minute Order Denying Emergency Preliminary Injunction Motion and #66 Renewed Emergency Motion for Preliminary Injunction and Temporary Restraining Order by 5 p.m. today, May 30, 2023, and 2) plaintiffs to file any reply by 9 p.m. today, May 30, 2023. Signed by Judge Beryl A. Howell on May 30, 2023. (lcbah2)
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MINUTE ORDER (paperless) GRANTING the parties' #67 Joint Motion Proposing Motion to Dismiss Briefing Schedule, and ISSUING the following SCHEDULING ORDER: (1) By June 30, 2023, defendant FINRA shall file any motion to dismiss; (2) By July 14, 2023, defendant-intervenor the United States shall file any memorandum of law in defense of the challenged provisions of the federal securities laws;(3) By August 4, 2023, plaintiffs shall file any response to defendants' motion and memoranda; and (4) By August 18, 2023, defendant FINRA shall file any reply in support of its motion. Signed by Judge Beryl A. Howell on May 30, 2023. (lcbah2)
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Set/Reset Deadlines: Defendant FINRA's motion to dismiss, if any, due by 6/30/2023; defendant-intervenor the United States' memorandum of law in defense of the challenged provisions of the federal securities laws due by 7/14/2023; plaintiffs' response to defendants' motion and memoranda due by 8/4/2023; defendant FINRA's reply, if any, in support of its motion due by 8/18/2023. (ztg)
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Filing 64
NOTICE of Appearance by David Henry Thompson on behalf of ALPINE SECURITIES CORPORATION, SCOTTSDALE CAPITAL ADVISORS CORPORATION (Thompson, David)
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Filing 63
Case transferred in from District of Florida Middle; Case Number 8:22-cv-02347. Original file ,transfer order and docket sheet received.
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MINUTE ORDER (paperless) DENYING, without prejudice, plaintiffs' #45 Emergency Motion for Preliminary Injunction and defendants' #51 Motion to Dismiss Plaintiffs' Second Amended Complaint and DIRECTING the parties to submit, by 2:00 PM on Tuesday, May 30, 2023, a proposed schedule for further briefing in this case. This case has been pending since October 2022 and now, over seven months later, has landed today on this Court's docket via a transfer from the Middle District of Florida with an emergency motion for a preliminary injunction to stop a proceeding scheduled to occur in five days as well as a motion to dismiss--neither of which is resolved. Furthermore, all existing briefing on the pending motions cite primarily to nonbinding cases in the Fifth and Eleventh Circuits. Finally, plaintiffs' ability to satisfy the required factors for preliminary injunctive relief appears to be strained, given that the administrative process before the Financial Industry Regulatory Authority ("FINRA") and the Securities and Exchange Commission ("SEC") will not be exhausted until the SEC has had an opportunity to rule on the result of the FINRA proceeding. See Springsteen-Abbott v. SEC, 989 F.3d 4, 7-8 (D.C. Cir. 2021) (dismissing a petition for review of FINRA's constitutionality "for a simple reason: Congress has prohibited us from considering issues not raised before the SEC"). Signed by Judge Beryl A. Howell on May 26, 2023. (lcbah2)
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Set/Reset Deadlines: Proposed schedule for further briefing due by 2:00 PM on 5/30/2023 (ztg)
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Filing 62
ORDER. Pursuant to 28 U.S.C. 1404(a), this case shall be TRANSFERRED to the United States District Court for the District of Columbia for all further proceedings. The CLERK is DIRECTED to transfer this matter to the United States District Court for the District of Columbia. The CLERK is further DIRECTED to close the case and terminate any pending motions. See Order for details. Signed by Judge Mary S. Scriven on 5/24/2023. (KBC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 61
Minute Entry. In Person Proceedings held before Judge Mary S. Scriven: PRELIMINARY INJUNCTION MOTION HEARING held on 5/22/2023 re: #45 Emergency MOTION for Preliminary Injunction filed by Alpine Securities Corporation. Court Reporter: David Collier (KAC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 60
ORDER granting #52 Motion to Appear Pro Hac Vice. Signed by Magistrate Judge Thomas G. Wilson on 5/18/2023. (ABC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 59
REPLY to Response to Motion re #45 Emergency MOTION for Preliminary Injunction filed by Alpine Securities Corporation. (Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 58
Exhibit List for May 22, 2023 Hearing on Plaintiffs' Motion for Preliminary Injunction by Alpine Securities Corporation, Scottsdale Capital Advisors Corporation. (Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 57
NOTICE by Financial Industry Regulatory Authority, Inc. re #48 Order Setting Hearing (Tayrani, Amir) [Transferred from Florida Middle on 5/26/2023.]
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Filing 56
NOTICE by United States of America re #48 Order Setting Hearing (Pezzi, Stephen) [Transferred from Florida Middle on 5/26/2023.]
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Filing 55
MEMORANDUM in support re #28 Notice (Other) Second Memorandum of Law in Defense of the Challenged Provisions of the Federal Securities Laws filed by United States of America. (Pezzi, Stephen) [Transferred from Florida Middle on 5/26/2023.]
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Filing 54
ENDORSED ORDER DIRECTING REPLY to #53 Defendant FINRA's Response in Opposition to Plaintiffs' Emergency Motion for Preliminary Injunction. On or before Thursday, May 18, 2023 at 5:00 p.m., Plaintiffs shall file a reply, not to exceed fifteen (15) pages, addressing the issue of the Court's in personam jurisdiction over Defendant FINRA and the issue of venue. Plaintiffs are free to respond to any other issues in their reply within the fifteen (15) page limit. Signed by Judge Mary S. Scriven on 5/15/2023. (KBC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 53
RESPONSE in Opposition re #45 Emergency MOTION for Preliminary Injunction filed by Financial Industry Regulatory Authority, Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B)(Tayrani, Amir) [Transferred from Florida Middle on 5/26/2023.]
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Filing 52
Unopposed MOTION for Alex Gesch to appear pro hac vice by Financial Industry Regulatory Authority, Inc.. (Attachments: #1 Affidavit)(Stewart, Ryan) Motions referred to Magistrate Judge Thomas G. Wilson. [Transferred from Florida Middle on 5/26/2023.]
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Filing 51
MOTION to Dismiss Plaintiffs' Second Amended Complaint by Financial Industry Regulatory Authority, Inc.. (Tayrani, Amir) [Transferred from Florida Middle on 5/26/2023.]
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Filing 50
ENDORSED ORDER DENYING AS MOOT #35 Defendant Financial Industry Regulatory Authority, Inc.'s Motion to Dismiss Plaintiffs' Amended Complaint. In light of Plaintiffs' having filed a Second Amended Complaint with the Court's leave, Defendant's motion is denied as moot. Defendant shall be free to reassert any of the challenges raised therein to the extent that they remain viable against the Second Amended Complaint. Signed by Judge Mary S. Scriven on 5/12/2023. (KBC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 48
ORDER Setting Hearing on Plaintiffs' Motion for Preliminary Injunction on Monday, May 22, 2023 in the Sam Gibbons United States Courthouse, Tampa, Florida, Courtroom 7A at 1:30 PM before United States District Judge Mary S. Scriven. The Court has set aside three (3) hours for this hearing. Defendant is DIRECTED to file a response to Plaintiff's motion, any supporting affidavits or other papers on which it intends to rely, no later than Monday, May 15, 2023. See Order for details. Signed by Judge Mary S. Scriven on 5/10/2023. (KBC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 49
ORDER granting #44 Motion to Appear Pro Hac Vice. Signed by Magistrate Judge Thomas G. Wilson on 5/9/2023. (ABC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 47
CERTIFICATE of interested persons and corporate disclosure statement by Alpine Securities Corporation, Scottsdale Capital Advisors Corporation identifying Other Affiliate Scottsdale Capital Advisors Holdings, LLC, Other Affiliate SCA Clearing, LLC for Scottsdale Capital Advisors Corporation. (Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 46
DECLARATION of Maranda E. Fritz re #45 Emergency MOTION for Preliminary Injunction by Alpine Securities Corporation. (Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 45
Emergency MOTION for Preliminary Injunction by Alpine Securities Corporation. (Attachments: #1 Exhibit 1)(Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 44
Unopposed MOTION for Maranda E. Fritz to appear pro hac vice, Special Admission fee paid, Receipt No. AFLMDC-20795502 for $150 by Alpine Securities Corporation, Scottsdale Capital Advisors Corporation. (Attachments: #1 Exhibit)(Turkel, Kenneth) Motions referred to Magistrate Judge Thomas G. Wilson. [Transferred from Florida Middle on 5/26/2023.]
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Filing 43
SECOND AMENDED COMPLAINT against Financial Industry Regulatory Authority, Inc. filed by Scottsdale Capital Advisors Corporation, Alpine Securities Corporation.(LD) [Transferred from Florida Middle on 5/26/2023.]
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Filing 42
ENDORSED ORDER GRANTING #40 Plaintiffs' Time-Sensitive Motion For Leave to File Second Amended Complaint and DENYING as moot #41 Plaintiffs' Time-Sensitive Motion for Extension of Time to Respond to Motion to Dismiss and to the United States of America's Memorandum of Law. Plaintiffs' Second Amended Complaint (Dkt. 40-1) shall be deemed filed as of the date of this Order. The Clerk is DIRECTED to separately docket Plaintiffs' Second Amended Complaint. (Dkt. 40-1) Signed by Judge Mary S. Scriven on 4/28/2023. (KBC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 41
Time Sensitive MOTION for Extension of Time to File Response/Reply as to #37 Memorandum in support (United States of America's Memorandum of Law in Defense of the Challenged Provisions of the Federal Securities Laws) and (21) Defendant's Motion to Dismiss Plaintiffs' Complaint by All Plaintiffs. (Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 40
Time Sensitive MOTION to Amend #27 Amended Complaint /for Leave to File Second Amended Complaint by All Plaintiffs. (Attachments: #1 Exhibit A)(Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 39
ENDORSED ORDER GRANTING #38 the Plaintiffs' Unopposed Motion to File a Single [Memorandum] in Response to Defendant's Motion to Dismiss and Intervenor's Memorandum of Law. On or before April 28, 2023, Plaintiffs may file a single memorandum, not to exceed 40 pages, in response to Defendant's Motion to Dismiss Plaintiffs' Complaint and the United States of America's Memorandum of Law in Defense of the Challenged Provisions of the Federal Securities Laws. Signed by Judge Mary S. Scriven on 4/26/2023. (KBC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 38
Unopposed MOTION for Miscellaneous Relief, specifically Motion to file Single Brief in Response to Defendant's Motion to Dismiss and Intervenor's Memorandum of Law by All Plaintiffs. (Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 37
MEMORANDUM in support re #28 Notice (Other) Memorandum of Law in Defense of the Challenged Provisions of the Federal Securities Laws filed by United States of America. (Pezzi, Stephen) [Transferred from Florida Middle on 5/26/2023.]
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Filing 36
REQUEST for oral argument re #35 MOTION to Dismiss Plaintiffs' Amended Complaint by Financial Industry Regulatory Authority, Inc.. (Tayrani, Amir) [Transferred from Florida Middle on 5/26/2023.]
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Filing 35
MOTION to Dismiss Plaintiffs' Amended Complaint by Financial Industry Regulatory Authority, Inc.. (Tayrani, Amir) [Transferred from Florida Middle on 5/26/2023.]
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Filing 34
ENDORSED ORDER granting #33 the Parties' Joint Motion for Enlargement of Time to respond to Plaintiffs' Amended Complaint. Defendant Financial Industry Regulatory Authority, Inc. ("FINRA") shall have up to and including March 10, 2023 to file its anticipated motion to dismiss the Amended Complaint. The United States of America shall have up to and including March 29, 2023 to file a memorandum in regard to the constitutionality of the challenged statutes. Plaintiffs shall have up to and including April 28, 2023 to file a response to FINRA's motion to dismiss and to the United States' memorandum in regard to the constitutionality of the challenged statutes. The Parties shall file their case management report within fourteen (14) days after the Court rules on the motion to dismiss, if the Court's Order does not resolve the case in full. Signed by Judge Mary S. Scriven on 2/16/2023. (KBC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 33
Joint MOTION for Extension of Time to File BRIEFING IN RESPONSE TO PLAINTIFFS' AMENDED COMPLAINT by Financial Industry Regulatory Authority, Inc.. (Tayrani, Amir) [Transferred from Florida Middle on 5/26/2023.]
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Filing 32
ENDORSED ORDER DENYING AS MOOT #21 Defendant's Motion to Dismiss Plaintiffs' Complaint. In light of Plaintiffs' having filed an Amended Complaint as a matter of course, Defendant's motion is denied as moot. Defendant shall be free to reassert any of the challenges raised therein to the extent that they remain viable against the Amended Complaint. Signed by Judge William F. Jung on 2/9/2023. (KBC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 31
NOTICE of Appearance by Christine L. Coogle on behalf of United States of America (Coogle, Christine) [Transferred from Florida Middle on 5/26/2023.]
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Filing 30
NOTICE of Lead Counsel Designation by Stephen Michael Pezzi on behalf of United States of America. Lead Counsel: Stephen M. Pezzi. (Pezzi, Stephen) [Transferred from Florida Middle on 5/26/2023.]
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Filing 29
NOTICE of Appearance by Stephen Michael Pezzi on behalf of United States of America (Pezzi, Stephen) [Transferred from Florida Middle on 5/26/2023.]
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Filing 28
NOTICE by United States of America of Intervention (Pezzi, Stephen) [Transferred from Florida Middle on 5/26/2023.]
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Filing 27
AMENDED COMPLAINT against Financial Industry Regulatory Authority, Inc. filed by Scottsdale Capital Advisors Corporation, Alpine Securities Corporation.(Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 26
ENDORSED ORDER GRANTING #25 Plaintiffs' Unopposed Motion for Extension of Time to Respond to Motion to Dismiss. Plaintiffs shall have up to and including February 3, 2023 to answer or otherwise respond to Defendant's Motion to Dismiss. Signed by Judge William F. Jung on 1/30/2023. (EOJ) [Transferred from Florida Middle on 5/26/2023.]
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Filing 25
Unopposed MOTION for Extension of Time to File Response/Reply as to #21 MOTION to Dismiss Plaintiff's Complaint by All Plaintiffs. (Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 24
ENDORSED ORDER GRANTING #23 Unopposed Motion for Extension of Time to Respond to Motion to Dismiss. Plaintiffs shall have up to and including January 30, 2023 to file a response to Defendant's Motion to Dismiss or otherwise file an Amended Complaint. Signed by Judge Mary S. Scriven on 12/19/2022. (MTP) [Transferred from Florida Middle on 5/26/2023.]
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Filing 23
Unopposed MOTION for Extension of Time to File Response/Reply as to #21 MOTION to Dismiss Plaintiff's Complaint by All Plaintiffs. (Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 22
REQUEST for oral argument re #21 MOTION to Dismiss Plaintiff's Complaint by Financial Industry Regulatory Authority, Inc.. (Tayrani, Amir) [Transferred from Florida Middle on 5/26/2023.]
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Filing 21
MOTION to Dismiss Plaintiff's Complaint by Financial Industry Regulatory Authority, Inc.. (Tayrani, Amir) [Transferred from Florida Middle on 5/26/2023.]
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Filing 20
NOTICE of Lead Counsel Designation by Amir C. Tayrani on behalf of Financial Industry Regulatory Authority, Inc.. Lead Counsel: Amir C. Tayrani. (Tayrani, Amir) [Transferred from Florida Middle on 5/26/2023.]
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Filing 19
ENDORSED ORDER GRANTING #18 Joint Motion for Enlargement of Time to File Case Management Report. The Parties shall have fourteen (14) days after the Court rules on Defendant's forthcoming motion to dismiss to submit a case management report, if one remains necessary after the Court's ruling. Signed by Judge Mary S. Scriven on 12/7/2022. (MTP) [Transferred from Florida Middle on 5/26/2023.]
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Filing 18
Joint MOTION for Extension of Time to File Case Management Report by Financial Industry Regulatory Authority, Inc.. (Stewart, Ryan) [Transferred from Florida Middle on 5/26/2023.]
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Filing 17
NOTICE by United States of America of Acknowledgment of Constitutional Challenge (Pezzi, Stephen) [Transferred from Florida Middle on 5/26/2023.]
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Filing 16
ORDER denying without prejudice #13 Motion to Appear Pro Hac Vice. Signed by Magistrate Judge Thomas G. Wilson on 11/2/2022. (ABC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 15
ORDER granting #12 Motion to Appear Pro Hac Vice. Signed by Magistrate Judge Thomas G. Wilson on 11/1/2022. (ABC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 14
ENDORSED ORDER GRANTING #11 Defendant's Unopposed Motion for Enlargement of Time to Respond to Plaintiff's Complaint and Incorporated Memorandum of Law. Defendant shall have up to and including December 12, 2022, to file an answer or otherwise respond to Plaintiff's Complaint. Signed by Judge Mary S. Scriven on 11/1/2022. (MTP) [Transferred from Florida Middle on 5/26/2023.]
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Filing 13
Unopposed MOTION for Alex Gesch to appear pro hac vice, Special Admission fee paid, Receipt No. AFLMDC-20149223 for $150 by Financial Industry Regulatory Authority, Inc.. (Attachments: #1 Affidavit A - Declaration of Alex Gesch)(Stewart, Ryan) Motions referred to Magistrate Judge Thomas G. Wilson. [Transferred from Florida Middle on 5/26/2023.]
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Filing 12
Unopposed MOTION for Amir Tayrani to appear pro hac vice, Special Admission fee paid, Receipt No. AFLMDC-20149222 for $150 by Financial Industry Regulatory Authority, Inc.. (Attachments: #1 Exhibit A - Declaration of Amir Tayrani)(Stewart, Ryan) Motions referred to Magistrate Judge Thomas G. Wilson. [Transferred from Florida Middle on 5/26/2023.]
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Filing 11
Unopposed MOTION for Extension of Time to File To Respond to Plaintiffs' Complaint by Financial Industry Regulatory Authority, Inc.. (Stewart, Ryan) [Transferred from Florida Middle on 5/26/2023.]
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Filing 10
CORPORATE Disclosure Statement by Financial Industry Regulatory Authority, Inc.. (Stewart, Ryan) [Transferred from Florida Middle on 5/26/2023.]
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Filing 9
NOTICE of Lead Counsel Designation by Ryan Carlton Stewart on behalf of Financial Industry Regulatory Authority, Inc.. Lead Counsel: Ryan C. Stewart. (Stewart, Ryan) [Transferred from Florida Middle on 5/26/2023.]
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Filing 8
NOTICE of Lead Counsel Designation by Kenneth George Turkel on behalf of Alpine Securities Corporation, Scottsdale Capital Advisors Corporation. Lead Counsel: Kenneth G. Turkel. (Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 7
RETURN of service executed on 10/20/2022 by Scottsdale Capital Advisors Corporation, Alpine Securities Corporation as to Financial Industry Regulatory Authority, Inc.. (Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 6
SUMMONS issued as to Financial Industry Regulatory Authority, Inc. (LD) [Transferred from Florida Middle on 5/26/2023.]
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Filing 5
PROPOSED summons to be issued by Alpine Securities Corporation, Scottsdale Capital Advisors Corporation. (Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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Filing 4
STANDING ORDER regarding discovery motions. Signed by Magistrate Judge Thomas G. Wilson on 10/13/2022. (ABC) [Transferred from Florida Middle on 5/26/2023.]
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Filing 3
NOTICE to counsel of Local Rule 2.02(a), which requires designation of one lead counsel who - unless the party changes the designation - remains lead counsel throughout the action. File a Notice of Lead Counsel Designation to identify lead counsel. (Signed by Deputy Clerk). (LD) [Transferred from Florida Middle on 5/26/2023.]
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Filing 2
NEW CASE ASSIGNED to Judge Mary S. Scriven and Magistrate Judge Thomas G. Wilson. New case number: 8:22-cv-2347-MSS-TGW. (SJB) [Transferred from Florida Middle on 5/26/2023.]
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Filing 1
COMPLAINT against Financial Industry Regulatory Authority, Inc. (Filing fee $402 receipt number AFLMDC-20083596) filed by Scottsdale Capital Advisors Corporation, Alpine Securities Corporation. (Attachments: #1 Civil Cover Sheet)(Turkel, Kenneth) [Transferred from Florida Middle on 5/26/2023.]
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