UBS Financial Services Inc. v. Plum et al
| UBS Financial Services Inc. |
| Andrew Plum, Thomas Cullen, Kathleen Burke and Taylor Marsh |
| 9:2025cv81215 |
| September 29, 2025 |
| U.S. District Court for the Southern District of Florida |
| Aileen M Cannon |
| Contract: Other |
| 28 U.S.C. § 1332 Diversity-Breach of Contract |
| None |
Docket Report
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This docket was last retrieved on October 14, 2025. A more recent docket listing may be available from PACER.
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Filing 30
ORDER STAYING AND ADMINISTRATIVELY CLOSING CASE. Case is CLOSED. Signed by Judge Aileen M. Cannon on 10/10/2025. See attached document for full details. (blc)
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| Filing 29 STATUS REPORT (Joint) by UBS Financial Services Inc. (Taylor, Jennifer) |
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Filing 28
PAPERLESS ORDER requiring Joint Status Report. On or before October 8, 2025, the parties shall meaningfully confer and file a Joint Status Report. The Joint Status Report shall indicate the parties' position on next steps in this litigation, if any, and address any opposition to an order closing this case (specifying any additional proposed terms for periodic status reports, etc.). Signed by Judge Aileen M. Cannon on 10/6/2025. (nct)
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| Reset Deadline per DE#28: Joint Status Report due by 10/8/2025. (scn) |
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Filing 27
ORDER GRANTING MOTION FOR STIPULATED PRELIMINARY INJUNCTION AND ENTERING STIPULATED PRELIMINARY INJUNCTION, DE #25 . Signed by Judge Aileen M. Cannon on 10/3/2025. See attached document for full details. (blc)
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Filing 26
PAPERLESS ORDER cancelling hearing. In light of #25 the Parties' Stipulated Preliminary Injunction, the evidentiary hearing set for October 3, 2025 24 , is hereby cancelled. Order to follow. Signed by Judge Aileen M. Cannon on 10/2/2025. (nct)
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| Filing 25 MOTION for Preliminary Injunction Order (Stipulated) by UBS Financial Services Inc.. (Taylor, Jennifer) |
| Filing 24 PAPERLESS NOTICE of Hearing: **TIME CHANGE ONLY** Evidentiary hearing on Plaintiff's Motion #3 set for 10/3/2025 10:00 AM in the Fort Pierce Division before Judge Aileen M. Cannon. (nct) |
| Filing 23 TRIAL BRIEF (Joint) by UBS Financial Services Inc.. (Taylor, Jennifer) |
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Filing 22
PAPERLESS ORDER memorializing communication to parties. In response to Defendants' Urgent Letter to the Court #18 , the Court on October 2, 2025, transmitted via e-mail a copy of a voicemail left on the Chambers' phone line in reference to receipt of pleadings in this case and availability for oral argument. No additional information concerning this voicemail is in the possession of the Court. Any issues stemming from this voicemail or notice more generally can be raised in open Court on October 3, 2025. Signed by Judge Aileen M. Cannon on 10/2/2025. (nct)
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| Filing 21 RESPONSE in Opposition re #3 Plaintiff's EMERGENCY MOTION with Certification of Emergency included filed by Kathleen Burke, Thomas Cullen, Taylor Marsh, Andrew Plum. Replies due by 10/9/2025. (Attachments: #1 Exhibit 1 Declaration of Plum, #2 Exhibit 2 - Declaration of Cullen, #3 Exhibit 3 - Declaration of Burke, #4 Exhibit 4 - Declaration of Marsh, #5 Exhibit 5 - UBS v Kenney)(Bressan, Michael) |
| Filing 20 NOTICE of Attorney Appearance and Designation of Email Addresses on Behalf of Defendants by James E. Fanto on behalf of Kathleen Burke, Thomas Cullen, Taylor Marsh, Andrew Plum. Attorney James E. Fanto added to party Kathleen Burke(pty:dft), Attorney James E. Fanto added to party Thomas Cullen(pty:dft), Attorney James E. Fanto added to party Taylor Marsh(pty:dft), Attorney James E. Fanto added to party Andrew Plum(pty:dft). (Fanto, James) |
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Filing 19
PAPERLESS ORDER striking and denying #18 Defendants' Urgent Letter to the Court and maintaining deadlines and evidentiary hearing. Under Local Rule 7.7, "[u]nless invited or directed by the presiding Judge, attorneys and parties shall not... address or present to the Court in the form of a letter or the like any application requesting relief in any form, citing authorities, or presenting arguments." See S.D. Fla. L.R. 7.7. Any request for relief from the Court must be come in the form of a procedurally proper motion, following conferral, that fully complies with the Local Rules. To the extent Defendants' noncompliant letter motion seeks an alteration of the Court's Order Scheduling Hearing, that request is denied. The evidentiary hearing scheduled for October 3, 2025, at 11:00 A.M. will go forward as scheduled in the Fort Pierce Division. All instructions and directives in the Court's Scheduling Order #14 remain in effect. To the extent Defendants make a proper showing at the hearing specifying a particularized need for additional time to present defense testimony pertinent to Plaintiff's Motion, the Court will consider that request and schedule any additional hearing as appropriate. As it currently stands, however, Defendants have not explained why at least Defendants themselves would not be available to present live testimony at the October 3, 2025, hearing, given the emergency nature of Plaintiff's Motion. Nothing in this Order precludes the parties from meaningfully conferring and reaching at least a temporary resolution of the present emergency controversy and filing a joint motion for stipulated relief. Signed by Judge Aileen M. Cannon on 10/2/2025. (nct)
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| Filing 18 STRICKEN per Order DE 19 . First NOTICE by Kathleen Burke, Thomas Cullen, Taylor Marsh, Andrew Plum re #14 Order Setting Hearing on Motion, Set/Reset Deadlines/Hearings (Taaffe, Michael) Modified on 10/2/2025 (pcs). |
| Filing 17 Plaintiff's AMENDED COMPLAINT for Injunctive Relief (Verified) against All Defendants, filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit A - 2019 ALFA Receiving FA Agreement, #2 Exhibit B - 2022 ALFA Receiving FA Agreement, #3 Exhibit C - Plum 2023 ALFA Receiving FA Agreement, #4 Exhibit D - Cullen 2023 ALFA Receiving FA Agreement, #5 Exhibit E - Burke 2023 ALFA Receiving FA Agreement, #6 Exhibit F - Team Agreement, #7 Exhibit G - Code of Conduct, #8 Exhibit H - letter to the attorney for Defendants)(Taylor, Jennifer) |
| Filing 16 NOTICE of Attorney Appearance by Michael D. Bressan on behalf of Kathleen Burke, Thomas Cullen, Taylor Marsh, Andrew Plum. Attorney Michael D. Bressan added to party Kathleen Burke(pty:dft), Attorney Michael D. Bressan added to party Thomas Cullen(pty:dft), Attorney Michael D. Bressan added to party Taylor Marsh(pty:dft), Attorney Michael D. Bressan added to party Andrew Plum(pty:dft). (Bressan, Michael) |
| Filing 15 NOTICE of Attorney Appearance by Scott A. La Porta on behalf of Kathleen Burke, Thomas Cullen, Taylor Marsh, Andrew Plum. Attorney Scott A. La Porta added to party Kathleen Burke(pty:dft), Attorney Scott A. La Porta added to party Thomas Cullen(pty:dft), Attorney Scott A. La Porta added to party Taylor Marsh(pty:dft), Attorney Scott A. La Porta added to party Andrew Plum(pty:dft). (La Porta, Scott) |
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Filing 14
ORDER SCHEDULING HEARING ON PLAINTIFF'S EMERGENCY MOTION FOR INJUNCTIVE RELIEF AND EXPEDITED DISCOVERY. Signed by Judge Aileen M. Cannon on 10/1/2025. See attached document for full details. (nct)
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Filing 13
ORDER REQUIRING COMBINED RESPONSES AND SETTING TYPEFACE REQUIREMENTS. Signed by Judge Aileen M. Cannon on 10/1/2025. See attached document for full details. (blc)
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Filing 12
ORDER DISMISSING SHOTGUN COMPLAINT AND PERMITTING REPLEADING. Plaintiff may file an amended complaint that is consistent with this Order on or before October 6, 2025. Signed by Judge Aileen M. Cannon on 10/1/2025. See attached document for full details. (blc)
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Filing 11
NOTICE OF COURT PRACTICES ON SEALING/REDACTION: Notwithstanding the requirements of Local Rule 5.4 and/or any protective order, the parties are prohibited from filing anything under seal or from redacting any content from a court filing or exhibit/attachment (except for the personal data identifiers listed in Section 6A of this District's CM/ECF Administrative Procedures) unless the party with a stated interest in sealing/redaction first seeks and obtains permission from the Court via a motion for leave. The motion for leave must be filed after meaningful conferral with the opposing party (or parties) and be filed publicly except as authorized by prior Court order. Additionally, the motion for leave shall specify the particularized basis for sealing the proposed material; shall describe the information/documents to be sealed with as much specificity as possible but without attaching the proposed sealed material; shall indicate the proposed duration of the seal request and the reasons why means other than sealing are unavailable or unsatisfactory; shall contain a separate certificate of conference section indicating the results of the parties' meaningful conferral; and shall be filed at last three business days before any related deadline to permit adequate Court consideration. The party seeking authorization to seal material shall not file or otherwise attach the subject material until the Court has ruled on the motion for leave. Finally, all parties are advised that mere designation of material as confidential and/or otherwise subject to a protective order does not bind the Court, does not supplant the requirements of the Local Rules on sealing, and does not otherwise relieve the party seeking sealing/redaction from justifying its request under applicable legal principals governing the presumption of public access to civil proceedings. Failure to comply with this Notice may result in immediate unsealing of any unauthorized shielded material. Signed by Judge Aileen M. Cannon on 9/30/2025. (nct)
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| Filing 10 Clerk's Notice to Filer re #7 Notice of Attorney Appearance. Login/Signature Block Violation; CORRECTIVE ACTION REQUIRED WITHIN 3 DAYS - The name of attorney e-filing this document via their CM/ECF login does not match the name of attorney on the signature block of the document. The name used for login must match typed name on signature block of the document. This filing is a violation of Section 3J(1) of CM/ECF Admin Procedures and LR 5.1(b). Filer must File a Notice of Striking, then refile document pursuant to CM/ECF Admin Procedures and Local Rules. (jas) |
| Filing 9 Clerk's Notice to Filer re #6 Notice of Attorney Appearance. Login/Signature Block Violation; CORRECTIVE ACTION REQUIRED WITHIN 3 DAYS - The name of attorney e-filing this document via their CM/ECF login does not match the name of attorney on the signature block of the document. The name used for login must match typed name on signature block of the document. This filing is a violation of Section 3J(1) of CM/ECF Admin Procedures and LR 5.1(b). Filer must File a Notice of Striking, then refile document pursuant to CM/ECF Admin Procedures and Local Rules. (jas) |
| Filing 8 Clerk's Notice to Filer re #5 Notice of Attorney Appearance. Login/Signature Block Violation; CORRECTIVE ACTION REQUIRED WITHIN 3 DAYS - The name of attorney e-filing this document via their CM/ECF login does not match the name of attorney on the signature block of the document. The name used for login must match typed name on signature block of the document. This filing is a violation of Section 3J(1) of CM/ECF Admin Procedures and LR 5.1(b). Filer must File a Notice of Striking, then refile document pursuant to CM/ECF Admin Procedures and Local Rules. (jas) |
| Filing 7 NOTICE of Attorney Appearance by Michael S. Taaffe on behalf of KATHLEEN BURKE, THOMAS CULLEN, TAYLOR MARSH, ANDREW PLUM (Taaffe, Michael) |
| Filing 6 NOTICE of Attorney Appearance by Michael S. Taaffe on behalf of KATHLEEN BURKE, THOMAS CULLEN, TAYLOR MARSH, ANDREW PLUM (Taaffe, Michael) |
| Filing 5 NOTICE of Attorney Appearance by Michael S. Taaffe on behalf of KATHLEEN BURKE, THOMAS CULLEN, TAYLOR MARSH, ANDREW PLUM (Taaffe, Michael) |
| Filing 4 NOTICE of Attorney Appearance by Michael S. Taaffe on behalf of KATHLEEN BURKE, THOMAS CULLEN, TAYLOR MARSH, ANDREW PLUM. Attorney Michael S. Taaffe added to party KATHLEEN BURKE(pty:dft), Attorney Michael S. Taaffe added to party THOMAS CULLEN(pty:dft), Attorney Michael S. Taaffe added to party TAYLOR MARSH(pty:dft), Attorney Michael S. Taaffe added to party ANDREW PLUM(pty:dft). (Taaffe, Michael) |
| Filing 3 Plaintiff's EMERGENCY MOTION with Certification of Emergency included by UBS FINANCIAL SERVICES INC.. Responses due by 10/14/2025. (Attachments: #1 Exhibit A Order Granting Plaintiff's Motion for Preliminary Injunction, #2 Certification Certificate of Emergency)(Taylor, Jennifer) |
| Filing 2 Clerks Notice of Judge Assignment to Judge Aileen M. Cannon. Pursuant to 28 USC 636(c), the parties are hereby notified that the U.S. Magistrate Judge Ryon M. McCabe 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. (blc) |
| Filing 1 COMPLAINT for Injunctive Relief (Verified) against All Defendants. Filing fees $ 405.00 receipt number AFLSDC-18829815, filed by UBS FINANCIAL SERVICES INC.. (Attachments: #1 Exhibit A - 2019 ALFA Receiving FA Agreements, #2 Exhibit B - 2022 ALFA Receiving FA Agreements, #3 Exhibit C 2023 ALFA Receiving FA Agreements, #4 Exhibit D- 2023 ALFA Receiving FA Agreements, #5 Exhibit E - 2023 ALFA Receiving FA Agreements, #6 Exhibit F - Team Agreement, #7 Exhibit G - Code of Conduct, #8 Exhibit H - Exhibit H letter to the attorney for Defendants, #9 Civil Cover Sheet)(Taylor, Jennifer) |
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