Torres et al v. Morgan Stanley Smith Barney LLC
| Isabel Litovich-Quintana and Jose A Torres |
| Morgan Stanley Smith Barney LLC |
| 1:2019cv22977 |
| July 17, 2019 |
| US District Court for the Southern District of Florida |
| Marcia G Cooke |
| Jonathan Goodman |
| Other Statutory Actions |
| 09 U.S.C. § 0009 |
| None |
Docket Report
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| Filing 40 Clerks Notice of Receipt of Appeal Filing Fee received on 4/23/2020 in the amount of $ 505.00, receipt number FLS100207240 (asz) |
| Filing 39 CIVIl SUPERSEDEAS BOND in the amount of $3,767,024.74 posted by Morgan Stanley Smith Barney LLC Approved by Judge Marcia G. Cooke (mee) |
| Filing 38 DEFENDANT MORGAN STANLEY SMITH BARNEY LLC'S NOTICE OF POSTING CIVIL SUPERSEDEAS BOND by Morgan Stanley Smith Barney LLC re #32 Judgment,, Terminate Motions, (mee) |
| Transmission of Notice of Appeal and Docket Sheet to US Court of Appeals re 36 Notice of Appeal. Notice has been electronically mailed. (hh) |
| Filing 37 Clerks Notice to Filer re #34 Notice (Other). Notice of Appeal Requires a Fee; CORRECTIVE ACTION REQUIRED Appellate Filing Fee Not Paid. The Filer must file a Notice of Compliance of Filing Fee-Notice of Appeal and electronically pay the correct fee of $505.00 wi 24 hrs of this notice. (hh) |
| Filing 36 Notice of Appeal by Isabel Litovich-Quintana, Jose A Torres as to #32 Judgment, Terminate Motions, #30 Order on Motion to Vacate, Order on Motion for Sanctions. Filing fee $ 505.00. Receipt#: FEE NOT PAID. Within fourteen days of the filing date of a Notice of Appeal, the appellant must complete the Eleventh Circuit Transcript Order Form regardless of whether transcripts are being ordered [Pursuant to FRAP 10(b)]. For information go to our FLSD website under Transcript Information. (see image de#34 ) (hh) |
| Filing 35 Clerks Notice to Filer re #34 Notice (Other). Wrong Event Selected; ERROR - The Filer selected the wrong event. The document was re-docketed by the Clerk, see [de#36]. It is not necessary to refile this document. (hh) |
| Filing 34 NOTICE by Isabel Litovich-Quintana, Jose A Torres NOTICE OF APPEAL (Attachments: #1 Exhibit 1, #2 Exhibit 2) (Erez, Jeffrey) |
| Transmission of Notice of Appeal, Order/Judgment under appeal and Docket Sheet to US Court of Appeals re #33 Notice of Appeal Notice has been electronically mailed. (apz) |
| Filing 33 Notice of Appeal as to #32 Judgment,, Terminate Motions, #30 Order on Motion to Vacate,, Order on Motion for Sanctions, by Morgan Stanley Smith Barney LLC. Filing fee $ 505.00 receipt number AFLSDC-12775154. Within fourteen days of the filing date of a Notice of Appeal, the appellant must complete the Eleventh Circuit Transcript Order Form regardless of whether transcripts are being ordered [Pursuant to FRAP 10(b)]. For information go to our FLSD website under Transcript Information. (Attachments: #1 Exhibit A- Final Judgment, #2 Exhibit B - Order)(Gerber, Tracy) |
| Filing 32 FINAL JUDGMENT in favor of Isabel Litovich-Quintana, Jose A Torres against Morgan Stanley Smith Barney LLC. Denied as moot: #31 MOTION for Judgment Petitioners' Motion for Entry of Judgment Confirming Arbitral Award filed by Isabel Litovich-Quintana, Jose A Torres. Signed by Judge Marcia G. Cooke on 4/13/2020. See attached document for full details. (mee) |
| Filing 31 MOTION for Judgment Petitioners' Motion for Entry of Judgment Confirming Arbitral Award by Isabel Litovich-Quintana, Jose A Torres. (Attachments: #1 Exhibit A, #2 Exhibit B)(Erez, Jeffrey) |
Filing 30
ORDER Granting #1 Motion (Complaint) to Confirm/Vacate/Modify or Correct Arbitration Award, denying #9 Motion to Vacate Arbitration Award ; denying #21 Motion for Sanctions; Closing Case. Signed by Judge Marcia G. Cooke on 4/8/2020. See attached document for full details. (ls)
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| Civil Case Terminated. Closing Case. (ls) |
| Filing 29 REPLY to Response to Motion re #21 MOTION for Sanctions Pursuant to B.L. Harbert Int'l, LLC v. Hercules Steel Co., 441 F.3d 905, 907 (11th Cir. 2006) Petitioners' Reply In Support to Motion for Sanctions Pursuant to Hercules Steel filed by Isabel Litovich-Quintana, Jose A Torres. (Erez, Jeffrey) |
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Filing 28
ENDORSED ORDER granting #27 Motion for Extension of Time to File Reply Re: #21 MOTION for Sanctions. Petitioners shall have through and including Tuesday, October 15, 2019 to file a Reply in Support of their Motion for Sanctions. Signed by Judge Marcia G. Cooke on 10/8/2019. (kou)
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| Filing 27 Agreed MOTION for Extension of Time to File Response/Reply/Answer for Petitioners to file a Reply in Support of their Motion for Sanctions Pursuant to Hercules Steel by Isabel Litovich-Quintana, Jose A Torres. (Attachments: #1 Exhibit Proposed Order)(Erez, Jeffrey) |
| Filing 26 RESPONSE in Opposition re #21 MOTION for Sanctions Pursuant to B.L. Harbert Int'l, LLC v. Hercules Steel Co., 441 F.3d 905, 907 (11th Cir. 2006) and Supporting Memorandum of Law filed by Morgan Stanley Smith Barney LLC. Replies due by 10/8/2019. (Gerber, Tracy) |
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Filing 25
ENDORSED ORDER granting #24 Motion for Extension of Time to File Response to #21 MOTION for Sanctions. MSSB must respond to the motion by October 1, 2019. Signed by Judge Marcia G. Cooke on 9/23/2019. (chd)
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| Filing 24 Agreed MOTION for Extension of Time to File Response/Reply/Answer as to #21 MOTION for Sanctions Pursuant to B.L. Harbert Int'l, LLC v. Hercules Steel Co., 441 F.3d 905, 907 (11th Cir. 2006) by Morgan Stanley Smith Barney LLC. (Attachments: #1 Text of Proposed Order)(Gerber, Tracy) |
| Filing 23 NOTICE by Morgan Stanley Smith Barney LLC re #9 MOTION to Vacate (Attachments: #1 Supplemental Declaration of Joseph C. Coates, III in Support of MSSB's Motion to Vacate Arbitration Award) (Gerber, Tracy) |
| Filing 22 REPLY to Response to Motion re #9 MOTION to Vacate filed by Morgan Stanley Smith Barney LLC. (Attachments: #1 Exhibit 1 - Sept. 02, 2013 Letter from CITI to J. Pilgrim, #2 Exhibit 2 - Torres - Exhibit 2 - Feb. 25, 2013 Letter from J. Pilgrim to D. Gallo, Esq)(Gerber, Tracy) |
| Filing 21 MOTION for Sanctions Pursuant to B.L. Harbert Int'l, LLC v. Hercules Steel Co., 441 F.3d 905, 907 (11th Cir. 2006) by Isabel Litovich-Quintana, Jose A Torres. (Erez, Jeffrey) |
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Filing 20
ENDORSED ORDER granting #19 Motion for Extension of Time. Respondent must file its Reply by September 17, 2019. Signed by Judge Marcia G. Cooke on 9/9/2019. (chd)
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| Set/Reset Deadlines/Hearings as to #9 MOTION to Vacate . Responses due by 9/17/2019. per DE 20 (cbr) |
| Filing 19 Unopposed MOTION for Extension of Time to Reply to Petitioners' Response in Opposition to Morgan Stanley's Motion to Vacate Arbitration Award re #18 Response in Opposition to Motion,,,,,, by Morgan Stanley Smith Barney LLC. Responses due by 9/20/2019 (Attachments: #1 Text of Proposed Order)(Coates, Joseph) |
| Filing 18 RESPONSE in Opposition re #9 MOTION to Vacate filed by Isabel Litovich-Quintana, Jose A Torres. Replies due by 9/10/2019. (Attachments: #1 Exhibit 1- Arbitration Award, #2 Exhibit 2- Claimants Post Hearing Brief in Support of Discovery Sanctions, #3 Exhibit 3- Pages 190-201 of the transcript from the Arbitration (January 14, 2019), #4 Exhibit 4- Pages 636-663 of the transcript from the Arbitration (January 16, 2019), #5 Exhibit 5- Pages 1555-1570 of the transcript from the Arbitration (January 21, 2019), #6 Exhibit 6- Pages 5111-5114 of the transcript from the Arbitration (April 25, 2019), #7 Exhibit 7- 9 U.S.C. 10, #8 Exhibit 8- FINRA Rule 12504, #9 Exhibit 9- Ruizs Arbitrator Disclosure Report, #10 Exhibit 10- Ruizs Oath of Arbitrator and Disclosure Checklist, #11 Exhibit 11- Ruizs Appointment Letter, #12 Exhibit 12- Pilgrims Arbitrator Disclosure Report, #13 Exhibit 13- Pilgrims Oath of Arbitrator and Disclosure Checklist, #14 Exhibit 14- Pilgrims Appointment Letter, #15 Exhibit 15- Morgan Stanleys 2013 Annual Report, #16 Exhibit 16- Client Agreement with Morgan Stanley, #17 Exhibit 17- Morgan Stanleys Submission Agreement, #18 Exhibit 18- FINRA Rule 12212, #19 Exhibit 19- FINRA Rule 12511, #20 Exhibit 20- FINRA Rule 0130, #21 Exhibit 21- Excerpts of Claimants Post-Hearing Brief, #22 Exhibit 22- FINRAs Letter of Acceptance Waiver and Consent No. 2005001449202)(Erez, Jeffrey) |
| Filing 17 Joint SCHEDULING REPORT - Rule by Isabel Litovich-Quintana, Jose A Torres (Erez, Jeffrey) |
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Filing 16
ENDORSED ORDER granting #15 Motion for Extension of Time to File Response to #9 MOTION to Vacate. Responses due by September 3, 2019. Signed by Judge Marcia G. Cooke on 9/3/2019. (chd)
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| Filing 15 Agreed MOTION for Extension of Time to File Response/Reply/Answer to Respondent's Motion to Vacate Arbitration Award and Supporting Memorandum of Law by Isabel Litovich-Quintana, Jose A Torres. (Attachments: #1 Exhibit A)(Erez, Jeffrey) |
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Filing 14
PAPERLESS ORDER granting #8 Motion to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Attorney Eliezer A. Aldarondo. Signed by Magistrate Judge Jonathan Goodman on 8/12/2019. (jzn)
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| Filing 13 ANSWER to Complaint as Response and Opposition to Petition to Confirm and Memorandum of Law by Morgan Stanley Smith Barney LLC. (Gerber, Tracy) |
| Filing 12 NOTICE by Morgan Stanley Smith Barney LLC re #9 MOTION to Vacate (Attachments: #1 Affidavit Declaration of Alex J. Rosenthal) (Gerber, Tracy) |
| Filing 11 NOTICE by Morgan Stanley Smith Barney LLC re #9 MOTION to Vacate (Attachments: #1 Affidavit Declaration of Carlos A. Rodriguez) (Gerber, Tracy) |
| Filing 10 NOTICE by Morgan Stanley Smith Barney LLC re #9 MOTION to Vacate (Attachments: #1 Affidavit Declaration of Joseph C. Coates, III) (Gerber, Tracy) |
| Filing 9 MOTION to Vacate by Morgan Stanley Smith Barney LLC. Attorney Tracy Lynn Gerber added to party Morgan Stanley Smith Barney LLC(pty:res). Responses due by 8/23/2019 (Attachments: #1 Exhibit 1 - Morgan Stanley's Prehearing Brief, #2 Exhibit 2 - Excerpts from Citigroup Inc.'s Form 10-K for the fiscal year ending December 31, 2013, #3 Exhibit 3 - Exhibit 21.01 to Citigroup's 10-K for the fiscal year ending December 31, 2012, #4 Exhibit 4 - Exhibit 21.01 to Citigroup's 10-K for the fiscal year ending December 31, 2013, #5 Exhibit 5 - Pages 45-6; 54 of the transcript from the Arbitration, #6 Exhibit 6 - Claimants' Express Creditline Loan Agreement and Federal Reserve Form T-4, #7 Exhibit 7 - Morgan Stanley's Post-hearing Brief in the Arbitration, #8 Exhibit 8 - March 26, 2010 letter from Morgan Stanley enclosing the Client Agreement to Claimants in the Arbitration, #9 Exhibit 9 - Pages 1639-40; 2007; and 2459 of the transcript from the Arbitration, #10 Exhibit 10 - Citi's Puerto Rico research produced in the Arbitration, #11 Exhibit 11 - Pages 1446-48 of the transcript from the Arbitration, #12 Exhibit 12 - Award in the Arbitration, #13 Exhibit 13 - MSSB's Answer (excluding exhibits), #14 Exhibit 14 - FINRA Rule 12403, #15 Exhibit 15 - FINRA letter dated December 31, 2018 enclosing FINRA's "short list" arbitrator ranking list, #16 Exhibit 16 - FINRA letter dated July 26, 2018 enclosing FINRA's "short list" arbitrator ranking list, #17 Exhibit 17 - FINRA Rule 12405, #18 Exhibit 18 - The FINRA Arbitrator's Guide, #19 Exhibit 19 - FINRA Oath of Arbitrator, #20 Exhibit 20 - FINRA letter dated January 9, 2019 enclosing Arbitrator Pilgrim's Oath of Arbitrator and Disclosure Checklist, #21 Exhibit 21 - FINRA letter dated June 24, 2019 enclosing an updated Arbitrator Disclosure Report for Arbitrator Pilgrim, #22 Exhibit 22 - Summons and Verified Complaint filed by Citimortgage, Inc., #23 Exhibit 23 - Attorneys' Affirmation filed by David A. Gallo, Esq. in the CITIMORTGAGE INC v. PILGRIM JILL case, #24 Exhibit 24 - FINRA's Volume 4 - 2011 Neutral Corner, #25 Exhibit 25 - Page 7 of the transcript from the Arbitration, #26 Exhibit 26 - Pages 2349 and 4023 of the transcript from the Arbitration, #27 Exhibit 27 - FINRA letter dated November 16, 2017 enclosing Arbitrator Ruiz's Oath of Arbitrator and Disclosure Checklist, #28 Exhibit 28 - FINRA's Duty to Disclose Training and Exam, #29 Exhibit 29 - FINRA letter dated January 10, 2019 enclosing Arbitrator Ruiz's updated Arbitrator Disclosure Report, #30 Exhibit 30 - Ruiz Aguirre v. Hato Rey Cmty. Hosp., Inc., K DP02-0262, 2011 WL 2261479, #31 Exhibit 31 - Certified translation of Ruiz Aguirre v. Hato Rey Cmty. Hosp., Inc., K DP02-0262, 2011 WL 2261479, #32 Exhibit 32 - Pages 77; 107-8 of the transcript from the Arbitration, #33 Exhibit 33 - Morgan Stanley's Closing Argument Presentation, #34 Exhibit 34 - Pages 684; 2078 of the transcript from the Arbitration, #35 Exhibit 35 - December 24, 2018 e-mail chain, #36 Exhibit 36 - December 28, 2018 e-mail chain, #37 Exhibit 37 - Morgan Stanley's Opposition to Claimants' Motion for Sanctions in the Arbitration, #38 Exhibit 38 - Pages 180-4 of the transcript from the Arbitration, #39 Exhibit 39 - Pages 314-7 of the transcript from the Arbitration, #40 Exhibit 40 - Pages 328-30 of the transcript from the Arbitration, #41 Exhibit 41 - Pages 144-5 of the transcript from the Arbitration, #42 Exhibit 42 - Page 658 of the transcript from the Arbitration, #43 Exhibit 43 - Page 636 of the transcript from the Arbitration, #44 Exhibit 44 - Pages 657-8 of the transcript from the Arbitration, #45 Exhibit 45 - Claimants' Post-hearing Brief in Support of Discovery Sanctions in the Arbitration, #46 Exhibit 46 - Pages 2281-2 of the transcript from the Arbitration, #47 Exhibit 47 - Pages 5781-2 of the transcript from the Arbitration, #48 Exhibit 48 - E-mail dated April 30, 2019 from Arb Pilgrim to the Parties re briefing Claimants' Motion for Sanctions, #49 Exhibit 49 - FINRA Rule 12212, #50 Exhibit 50 - FINRA Rule 12511, #51 Exhibit 51 - FINRA's October 2004 Netural Corner, #52 Exhibit 52 - FINRA's Discovery, Abuses & Sanctions training, #53 Exhibit 53 - FINRA's March 2019 Sanction Guidelines)(Gerber, Tracy) |
| Filing 8 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Eliezer A. Aldarondo. Filing Fee $ 75.00 Receipt # 113C-11891391 by Isabel Litovich-Quintana, Jose A Torres. Responses due by 8/23/2019 (Attachments: #1 Certification of Eliezer A. Aldarondo, Esquire, #2 Text of Proposed Order Order Granting Motion to Appear Pro Hac Vice, Consent to Designation and Request to Electronically Receive Notices of Electronic Filing - of Eliezer A. Aldarondo, Esquire)(Erez, Jeffrey) |
| Set/Reset Answer Due Deadline: Morgan Stanley Smith Barney LLC response due 8/9/2019. per DE 7 (cbr) |
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Filing 7
ENDORSED ORDER granting #6 Motion for Extension of Time. Defendant must respond to the Petition by August 9, 2019. Signed by Judge Marcia G. Cooke on 8/2/2019. (chd)
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| Filing 6 MOTION for Extension of Time to File Response/Reply/Answer as to #1 Motion (Complaint) to Confirm/Vacate/Modify or Correct Arbitration Award, by Morgan Stanley Smith Barney LLC. Attorney Joseph Clay Coates, III added to party Morgan Stanley Smith Barney LLC(pty:res). (Attachments: #1 Text of Proposed Order)(Coates, Joseph) |
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Filing 5
ORDER OF REFERRAL AND ORDER REGARDING COURT PRACTICES AND PROCEDURES. Referring Case to Magistrate Judge Jonathan Goodman for Pretrial Non-Dispositive Matters; Notice re Joint Motions; Expedited Service Deadline 9/23/2019. Signed by Judge Marcia G. Cooke on 7/25/2019. See attached document for full details. (chd)
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| Filing 4 ACKNOWLEDGMENT OF SERVICE Return of Service - Summons to Morgan Stanley filed by Isabel Litovich-Quintana, Jose A Torres. (Erez, Jeffrey) |
| Filing 3 Summons Issued as to Morgan Stanley Smith Barney LLC. (mee) |
| Filing 2 Clerks Notice of Judge Assignment to Judge Marcia G. Cooke. Pursuant to 28 USC 636(c), the parties are hereby notified that the U.S. Magistrate Judge Jonathan Goodman is available to handle any or all proceedings in this case. If agreed, parties should complete and file the Consent form found on our website. It is not necessary to file a document indicating lack of consent. Pro se (NON-PRISONER) litigants may receive Notices of Electronic Filings (NEFS) via email after filing a Consent by Pro Se Litigant (NON-PRISONER) to Receive Notices of Electronic Filing. The consent form is available under the forms section of our website. (mee) |
| Filing 1 Motion (Complaint) to Confirm Petition to Confirm Arbitration Award Arbitration Award. Filing fee $400.00 receipt number 113C-11823855, filed by Jose A Torres, Isabel Litovich-Quintana. (Attachments: #1 Civil Cover Sheet, #2 Summon(s), #3 Exhibit Exhibit A, #4 Exhibit Exhibit B)(Erez, Jeffrey) |
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