UBS Financial Services, Inc. v. Financial Industry Regulatory Authority
| UBS Financial Services, Inc. |
| Financial Industry Regulatory Authority |
| 9:2023cv81126 |
| August 8, 2023 |
| US District Court for the Southern District of Florida |
| Aileen M Cannon |
| Bruce E Reinhart |
| Robin L Rosenberg |
| Other Statutes: Arbitration |
| 09 U.S.C. ยง 0009 Motion to confirm arbitration award |
| None |
Docket Report
RSS Track this Docket
This docket was last retrieved on October 6, 2023. A more recent docket listing may be available from PACER.
| Document Text |
|---|
Filing 8
Order Granting #6 Unopposed Petition To Confirm Arbitration Award.The Petition to Confirm Arbitration Award Directing Expungement and to Issue Order for Expungement of CRD Record ECF No. #1 is GRANTED. The FINRA Award in Case No. 21-01584 directing expungement ECF No. [1-1] is CONFIRMED. All references to Occurrence No. 2141549 shall be EXPUNGED from the records of FINRA's Central Registration Depository relating to this occurrence on the record of Seth Neil Ripple. Signed by Judge Aileen M. Cannon on 10/6/2023. See attached document for full details. (rbe)
|
| Civil Case Terminated per order DE #8 . Closing Case. (rbe) |
|
Filing 7
ORDER OF RECUSAL. Judge Robin L. Rosenberg recused. Case reassigned to Judge Aileen M. Cannon for all further proceedings Signed by Judge Robin L. Rosenberg on 10/4/2023. See attached document for full details. (jmd)
|
| Filing 6 MOTION to Confirm Arbitration Award by UBS Financial Services, Inc.. Responses due by 10/13/2023 (Attachments: #1 Affidavit Declaration of Peter Fruin, #2 Exhibit Ex 1 to Declaration of Peter Fruin, #3 Text of Proposed Order Proposed Order)(Fruin, Peter) |
| Filing 5 SUMMONS (Affidavit) Returned Executed on #1 Motion (Complaint) to Confirm/Vacate/Modify or Correct Arbitration Award, with a 21 day response/answer filing deadline pursuant to Fed. R. Civ. P. 12 by UBS Financial Services, Inc.. Financial Industry Regulatory Authority served on 8/22/2023, response/answer due 9/12/2023. (Fruin, Peter) Modified text on 8/24/2023 (pcs). |
| Filing 4 Summons Issued as to Financial Industry Regulatory Authority. (pcs) |
| Filing 3 NOTICE of Filing Proposed Summons(es) by UBS Financial Services, Inc. re #1 Motion (Complaint) to Confirm/Vacate/Modify or Correct Arbitration Award, filed by UBS Financial Services, Inc. (Fruin, Peter) |
| Filing 2 Clerks Notice of Judge Assignment to Judge Robin L. Rosenberg and Magistrate Judge Bruce E. Reinhart. Pursuant to 28 USC 636(c), the parties are hereby notified that the U.S. Magistrate Judge Bruce E. Reinhart 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. (rbe) |
| Filing 1 Motion (Complaint) to Confirm Petition to Confirm Arbitration Award Directing Expungement and to Issue Order for Expungement of CRD Record Arbitration Award. Filing fee $402.00 receipt number AFLSDC-16826263, filed by UBS Financial Services, Inc.. (Attachments: #1 Exhibit A - FINRA Award, #2 Exhibit B - FINRA Rule 2080, #3 Text of Proposed Order C - Proposed Order, #4 Civil Cover Sheet Civil Cover Sheet)(Fruin, Peter) |
Access additional case information on PACER
Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.
Access this case on the Florida Southern District Court's Electronic Court Filings (ECF) System
- Search for Party Aliases
- Associated Cases
- Attorneys
- Case File Location
- Case Summary
- Docket Report
- History/Documents
- Parties
- Related Transactions
- Check Status
| Search for this case: UBS Financial Services, Inc. v. Financial Industry Regulatory Authority | |
|---|---|
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Web | [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ] |
| Plaintiff: UBS Financial Services, Inc. | |
| Represented By: | Peter Sean Fruin |
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Finance | [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ] |
| Search Web | [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ] |
| Defendant: Financial Industry Regulatory Authority | |
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Finance | [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ] |
| Search Web | [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ] |
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.
