KIM v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
| EUGENE H. KIM |
| FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. |
| SECURITIES EXCHANGES, NATIONAL FUTURES ASSOCIATION, CME GROUP INC. and CBOE GLOBAL MARKETS, INC. |
| UNITED STATES OF AMERICA |
| 1:2023cv02420 |
| August 18, 2023 |
| US District Court for the District of Columbia |
| Washington, DC Office |
| Ana C Reyes |
| Securities/Commodities |
| 28 U.S.C. § 1331 Fed. Question |
| Plaintiff |
Docket Report
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This docket was last retrieved on October 16, 2023. A more recent docket listing may be available from PACER.
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Filing 30
Joint MOTION to Hold in Abeyance Pending the D.C. Circuit's Resolution of the Pending Appeal by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.. (Attachments: #1 Text of Proposed Order)(Tayrani, Amir)
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Filing 29
NOTICE OF APPEAL TO DC CIRCUIT COURT as to #28 Memorandum & Opinion, #27 Order on Motion for TRO, Order on Motion for Preliminary Injunction by EUGENE H. KIM. Filing fee $ 505, receipt number ADCDC-10419841. Fee Status: Fee Paid. Parties have been notified. (Andonian, Philip)
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Case Stayed. (zcdw)
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MINUTE ORDER. Upon consideration of the parties' #30 Joint Motion to Hold Proceedings in Abeyance Pending Appeal, it is hereby ORDERED that the motion is GRANTED, and all matters in this action are STAYED and held in abeyance until the D.C. Circuit issues its mandate in Kim v. Financial Industry Regulatory Authority, Inc. Signed by Judge Ana C. Reyes on 10/16/2023. (lcacr1)
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MINUTE ORDER granting #18 Motion for Leave to Appear Pro Hac Vice. Attorney Gregory Boyle is hereby admitted pro hac vice to appear in this matter. 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 Ana C. Reyes on 10/10/2023. (lcacr1)
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Filing 28
MEMORANDUM OPINION regarding Plaintiff's #4 Motion for Temporary Restraining Order and Preliminary Injunction. See document for details. Signed by Judge Ana C. Reyes on 10/6/2023. (lcacr1)
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Filing 27
ORDER denying Plaintiff's #4 Motion for Temporary Restraining Order and Preliminary Injunction. See document for details. Signed by Judge Ana C. Reyes on 10/6/2023. (lcacr1)
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MINUTE ORDER. It is ORDERED that the status conference set for October 4, 2023 at 3 p.m. is hereby VACATED. Signed by Judge Ana C. Reyes on 10/4/2023.(lcacr1)
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Filing 26
ERRATA by EUGENE H. KIM re #24 Supplemental Memorandum. (Attachments: #1 Supplement Supplemental Memorandum (Corrected))(Andonian, Philip)
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NOTICE OF ERROR regarding #24 Supplemental Memorandum. The following error(s) need correction: Incorrect format (Letter)- correspondence is not permitted (LCvR 5.1(a)). Please refile. (znmw)
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Filing 25
TRANSCRIPT OF PROCEEDINGS, before Judge Ana C. Reyes, held on 9-27-2023. Page Numbers: 1 - 123. Date of Issuance: 10-01-2023. 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 10/22/2023. Redacted Transcript Deadline set for 11/1/2023. Release of Transcript Restriction set for 12/30/2023.(Saint-Loth, Elizabeth)
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NOTICE of Hearing: Status Conference set for 10/4/2023 at 3:00 PM via videoconference before Judge Ana C. Reyes. (zcdw)
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Filing 24
ENTERED IN ERROR.....SUPPLEMENTAL MEMORANDUM to re #4 MOTION for Temporary Restraining Order MOTION for Preliminary Injunction filed by EUGENE H. KIM. (Andonian, Philip) Modified on 10/2/2023 (znmw).
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Filing 23
SUPPLEMENTAL MEMORANDUM to re Order (Supplemental Brief of the United States in Defense of the Challenged Provisions of the Federal Securities Laws) filed by UNITED STATES OF AMERICA. (Luh, James)
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Filing 22
SUPPLEMENTAL MEMORANDUM to re #4 MOTION for Temporary Restraining Order MOTION for Preliminary Injunction filed by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.. (Attachments: #1 Exhibit 1)(Tayrani, Amir)
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MINUTE ORDER. As stated at the September 27, 2023 hearing, the parties are ORDERED to submit supplemental briefs, not to exceed five pages, on or before September 30, 2023 at 11 a.m. Signed by Judge Ana C. Reyes on 9/27/2023. (lcacr1)
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Minute Entry for proceedings held before Judge Ana C. Reyes: Motion Hearing held on 9/27/2023 re #4 Motion for Temporary Restraining Order/Motion for Preliminary Injunction. Motion heard and taken under advisement. Parties directed to file supplemental briefs by 11:00 AM on 9/30/2023. (Court Reporter: Elizabeth St. Loth) (zcdw)
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Filing 21
NOTICE of Hearing: Motion Hearing reset for 11:30 AM on 9/27/2023 in Courtroom 12 before Judge Ana C. Reyes. Please note the change in start time. (zcdw)
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Filing 20
AMICUS BRIEF in Support of Defendant and in Opposition to Plaintiff's Motion for Temporary Restraining Order and Preliminary Injunction by Amici Curiae Securities Exchanges. (King, Kevin)
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Filing 19
AMICUS BRIEF in Support of Defendant by CBOE GLOBAL MARKETS, INC., CME GROUP INC., NATIONAL FUTURES ASSOCIATION. (Unikowsky, Adam)
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Filing 18
MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Gregory Boyle, Filing fee $ 100, receipt number ADCDC-10372096. Fee Status: Fee Paid. by NATIONAL FUTURES ASSOCIATION, CME GROUP INC., CBOE GLOBAL MARKETS, INC.. (Attachments: #1 Declaration in Support, #2 Certificate of Good Standing, #3 Proposed Order)(Unikowsky, Adam)
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Filing 17
NOTICE of Appearance by Kevin F. King on behalf of Amici Curiae Securities Exchanges (King, Kevin)
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Filing 16
REPLY to opposition to motion re #4 MOTION for Temporary Restraining Order MOTION for Preliminary Injunction filed by EUGENE H. KIM. (Andonian, Philip)
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Filing 15
MEMORANDUM re #14 Notice (Other) filed by UNITED STATES OF AMERICA by UNITED STATES OF AMERICA. (Luh, James)
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Filing 14
NOTICE of Intervention by the United States by UNITED STATES OF AMERICA (Luh, James)
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Filing 13
NOTICE of Appearance by Max Elias Schulman on behalf of FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. (Schulman, Max)
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Set/Reset Deadlines/Hearings: Plaintiff's reply due by 9/21/2023. Amicus briefs due by 9/22/2023. Motion Hearing reset for 9/27/2023 at 11:00 AM in Courtroom 12 before Judge Ana C. Reyes. (zcdw)
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Filing 12
Joint MOTION to Continue September 7 Hearing, Joint MOTION for Extension of Time to File Reply Brief and Amicus Briefs by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.. (Attachments: #1 Text of Proposed Order)(Tayrani, Amir)
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MINUTE ORDER: Upon consideration of the parties' joint motion to continue the September 7, 2023 hearing and for a corresponding extension of briefing deadlines, it is hereby ORDERED that the Motion is GRANTED. It is further ORDERED that the September 7, 2023 hearing in this matter is continued and reset for September 27, 2023 at 11:00am; Plaintiff's reply shall be filed no later than September 21, 2023; any amicus briefs shall be filed no later than September 22, 2023. Signed by Judge Ana C. Reyes on 8/30/23. (lcas)
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Filing 11
Memorandum in opposition to re #4 Motion for TRO, Motion for Preliminary Injunction filed by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.. (Attachments: #1 Appendix Index of Exhibits, #2 Exhibit Ex. 1 Declaration of Jennifer L. Crawford, #3 Exhibit Ex. 2 Declaration of Roger J. Kiley, #4 Exhibit Ex. 3 - Ex. A to Kiley Decl., #5 Exhibit Ex. 4 - Ex. B to Kiley Decl., #6 Text of Proposed Order)(Tayrani, Amir)
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Set/Reset Deadlines/Hearings: Amicus briefs due by 9/6/2023. (zcdw)
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MINUTE ORDER. The Court invites amicus briefs, including by Alpine Securities Corp., on the pending motion for temporary restraining order and preliminary injunction. Any amicus briefs are due on or before 12 p.m. on September 6, 2023. The Court is particularly interested in the argument that FINRA hearing officers are "officers of the United States" for purposes of the Appointments Clause, U.S. Const. art. II, 2, cl. 2. Signed by Judge Ana C. Reyes on 8/28/2023. (lcacr1)
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Filing 10
MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Kari Parks, Filing fee $ 100, receipt number ADCDC-10296670. Fee Status: Fee Paid. by EUGENE H. KIM. (Attachments: #1 Declaration, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order)(Andonian, Philip)
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Filing 9
MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Martin H. Kaplan, Filing fee $ 100, receipt number ADCDC-10296641. Fee Status: Fee Paid. by EUGENE H. KIM. (Attachments: #1 Declaration, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order)(Andonian, Philip)
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NOTICE of Hearing: Status Conference set for 8/23/2023 at 1:00 PM via videoconference before Judge Ana C. Reyes. (zcdw)
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MINUTE ORDER granting #10 Motion for Leave to Appear Pro Hac Vice 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 Ana C. Reyes on 8/23/23. (lcas)
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MINUTE ORDER granting #9 Motion for Leave to Appear Pro Hac Vice 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 Ana C. Reyes on 8/23/23. (lcas)
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Minute Entry for proceedings held before Judge Ana C. Reyes: Status Conference held on 8/23/2023. (Court Reporter: Christine Asif) (zcdw)
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Set/Reset Deadlines/Hearings: Response to #4 due by 8/28/2023. Reply due by 9/5/2023. Merits Hearing set for 9/7/2023 at 11:00 AM in Courtroom 12 before Judge Ana C. Reyes. (zcdw)
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MINUTE ORDER. As stated during the August 23, 2023 status conference, it is ORDERED that Defendant shall file its response brief to Plaintiff's #4 Motion for Temporary Restraining Order and Preliminary Injunction on or before August 28, 2023, and Plaintiff shall file his reply brief on or before September 5, 2023. The Court will hold an in-person hearing in Courtroom 12 at 11 a.m. on September 7, 2023. Signed by Judge Ana C. Reyes on 8/23/2023. (lcacr1)
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Filing 8
Case directly reassigned to Judge Ana C. Reyes by consent. Judge Tanya S. Chutkan is no longer assigned to the case. (ztnr)
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Filing 7
NOTICE of Appearance by Alex Gesch on behalf of FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. (Gesch, Alex)
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Filing 6
NOTICE of Appearance by Amir Cameron Tayrani on behalf of FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. (Tayrani, Amir)
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Filing 5
NOTICE of Proposed Order by EUGENE H KIM re #4 MOTION for Temporary Restraining Order (Andonian, Philip)
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Filing 4
MOTION for Temporary Restraining Order by EUGENE H KIM. (Attachments: #1 Declaration, #2 Declaration, #3 Memorandum in Support)(Andonian, Philip). Added MOTION for Preliminary Injunction on 8/22/2023 (zjm).
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Filing 3
SUMMONS (1) Issued Electronically as to FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.. (Attachments: #1 Notice and Consent)(zcb)
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Filing 2
ERRATA by EUGENE H KIM re #1 Complaint. (Attachments: #1 Corrected Complaint)(Andonian, Philip)
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NOTICE OF ERROR re #1 Complaint; emailed to phil@calebandonian.com, cc'd 0 associated attorneys -- The PDF file you docketed contained errors: 1. Noncompliance with LCvR 5.1(c). Please file an errata correcting the initiating pleading to include the name & full residence address of each party using the event Errata., 2. COMPLIANCE DEADLINE is by close of business today. This case will not proceed any further until all errors are satisfied. (cb, )
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Case Assigned to Judge Tanya S. Chutkan. (zcb)
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Filing 1
COMPLAINT EUGENE H. KIM against FINRA with Jury Demand ( Filing fee $ 402 receipt number ADCDC-10287695) filed by EUGENE H KIM. (Attachments: #1 Civil Cover Sheet, #2 Summons)(Andonian, Philip)
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