ALLEN v. BROWN ADVISORY, LLC et al
| Joseph P. Allen, IV |
| Brown Investment Advisory & Trust Co., Brown Advisory, LLC and BROWN INVESTMENT ADVISORY & TRUST COMPANY |
| 1:2019cv04160 |
| October 9, 2019 |
| US District Court for the Southern District of Indiana |
| James Patrick Hanlon |
| Doris L Pryor |
| Contract: Other |
| 28 U.S.C. § 1332 |
| None |
Docket Report
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Filing 71
ORDER granting Plaintiff's #68 Motion for Extension of Time to Serve Statement of Special Damages and Settlement Proposal to 4/8/2020. The Defendants shall serve on the Plaintiff (but not file with the Court) a response thereto within 30 days after receipt of the proposal. Signed by Magistrate Judge Doris L. Pryor on 3/3/2020. (SWM)
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| Filing 69 NOTICE of Supplemental Authority in Further Support of Plaintiff's Response to Defendants' MTD or in the Alternative, Transfer Venue, filed by Plaintiff JOSEPH P. ALLEN, IV, re #33 Response in Opposition to Motion. (Attachments: #1 Exhibit A. Affidavit, #2 Exhibit B. Disclaimer of Investment Account) (Traylor, Elizabeth) |
| Filing 68 Unopposed MOTION for Extension of Time to April 8, 2020 to Serve Statement of Special Damages and Settlement Demand, filed by Plaintiff JOSEPH P. ALLEN, IV. (Attachments: #1 Text of Proposed Order)(Clark, Briana) |
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Filing 67
ORDER granting Defendants' #55 Motion to Maintain Document Under Seal. Docket No. 54, including all attachments, shall be maintained UNDER SEAL. Signed by Magistrate Judge Doris L. Pryor on 2/26/2020. (SWM)
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Filing 66
ORDER: This matter comes before the Court on Motion by the Defendants, Brown Advisory, LLC and Brown Investment Advisory & Trust Company, for Oral Argument on Motion to Stay Discovery Pending Adjudication of Ripe Motion to Dismiss, Dkt. [ #50 ]. The Court, being duly advised, hereby GRANTS said Motion. This matter is set for oral argument on March 11, 2020 at 9:00 a.m. (Eastern) in Courtroom 243, United States Courthouse, 46 East Ohio Street, Indianapolis, Indiana. Signed by Magistrate Judge Doris L. Pryor on 2/26/2020.(SWM)
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| Filing 65 Exhibit List (Preliminary), filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY, Witness List (Preliminary), filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Maley, John) |
| Filing 64 Exhibit List Preliminary, filed by Plaintiff JOSEPH P. ALLEN, IV, Witness List Preliminary, filed by Plaintiff JOSEPH P. ALLEN, IV. (Welch, Brian) |
| Filing 63 Unopposed MOTION to Reschedule Pre-Trial/Settlement Conference, filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Attachments: #1 Text of Proposed Order)(Maley, John) |
| Filing 62 MOTION for Protective Order , filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Attachments: #1 Text of Proposed Order - Stipulated Protective Order)(Maley, John) |
| Filing 61 NOTICE of Change of Attorney Information. Consistent with Local Rule 5-3, Brian W. Welch hereby notifies the Clerk of the court of changed contact information. (Welch, Brian) |
| Filing 60 REPLY in Support of Motion re #49 MOTION to Stay Discovery Pending Adjudication of Motion to Dismiss , filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Maley, John) |
| Filing 59 REPLY in Support of Motion re #50 MOTION for Oral Argument on Motion to Stay Discovery Pending Adjudication of Ripe Motion to Dismiss , filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Maley, John) |
| Filing 58 RESPONSE in Opposition re #49 MOTION to Stay Discovery Pending Adjudication of Motion to Dismiss , filed by Plaintiff JOSEPH P. ALLEN, IV. (Welch, Brian) |
| Filing 57 RESPONSE in Opposition re #50 MOTION for Oral Argument on Motion to Stay Discovery Pending Adjudication of Ripe Motion to Dismiss , filed by Plaintiff JOSEPH P. ALLEN, IV. (Traylor, Elizabeth) |
| Filing 56 BRIEF/MEMORANDUM in Support re #55 MOTION to Maintain Document Under Seal #54 SEALED Document (Case Participants - doc) , filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Maley, John) |
| Filing 55 MOTION to Maintain Document Under Seal #54 SEALED Document (Case Participants - doc) , filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Attachments: #1 Text of Proposed Order)(Maley, John) |
| Filing 54 *** SEALED PER ORDER DATED 2/26/2020 (Dkt. #67 ) *** SEALED (Ex. A to Second Notice of Supplemental Authority), re #53 Notice (Other), filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Maley, John) Modified on 2/28/2020 (SWM). |
| Filing 53 NOTICE (Second Notice of Supplemental Authority), filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY, re #8 MOTION to Dismiss MOTION to Transfer Case (Defendants' Motion to Dismiss or, in the Alternative, Transfer Venue). (Attachments: #1 Exhibit A - Maryland Court's January 13, 2020 Order (Filed Under Seal)) (Maley, John) |
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Filing 52
ORDER: This matter comes before the Court on the Defendants' Motion to Seal Exhibit E to Reply in Support of Motion to Dismiss, or in the Alternative, Transfer Venue, Dkt. [ #43 ]. The Court, being duly advised, hereby GRANTS said Motion. Docket No. 42 shall be maintained UNDER SEAL. Signed by Magistrate Judge Doris L. Pryor on 1/9/2020. (SWM)
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| Filing 51 NOTICE of Supplemental Authority in Support of Motion to Dismiss, or in the Alternative, Transfer Venue, filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY, re #8 MOTION to Dismiss MOTION to Transfer Case (Defendants' Motion to Dismiss or, in the Alternative, Transfer Venue). (Attachments: #1 Exhibit A) (Maley, John) |
| Filing 50 MOTION for Oral Argument on Motion to Stay Discovery Pending Adjudication of Ripe Motion to Dismiss, filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Attachments: #1 Text of Proposed Order)(Maley, John) |
| Filing 49 MOTION to Stay Discovery Pending Adjudication of Motion to Dismiss, filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Attachments: #1 Text of Proposed Order)(Maley, John) |
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Filing 48
ORDER approving ESI Supplement to Case Management Plan. Signed by Magistrate Judge Doris L. Pryor on 12/23/2019.(CBU)
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Filing 47
MINUTE ORDER for proceedings held before Magistrate Judge Doris L. Pryor: The parties appeared by telephone for a Status Conference. The parties discussed the amended ESI supplement. The Court will approve the Amended ESI, by separate order. The call was held and concluded. Signed by Magistrate Judge Doris L. Pryor. (CAG)
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| Filing 46 Submission of Joint ESI Supplement to Case Management Plan, filed by Plaintiff JOSEPH P. ALLEN, IV. (Clark, Briana) |
| Filing 44 BRIEF/MEMORANDUM in Support re #43 MOTION to Maintain Document Under Seal #42 SEALED Document (Case Participants - doc) , filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Maley, John) |
| Filing 43 MOTION to Maintain Document Under Seal #42 SEALED Document (Case Participants - doc) , filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Attachments: #1 Text of Proposed Order)(Maley, John) |
| Filing 42 *** SEALED PER DOCKET NUMBER #52 *** SEALED Exhibit E, re #8 Motion to DismissMotion to Transfer Case, filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Maley, John) Modified on 1/9/2020 (SWM). |
| Filing 41 REPLY in Support of Motion re #8 MOTION to Dismiss MOTION to Transfer Case (Defendants' Motion to Dismiss or, in the Alternative, Transfer Venue) , filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Attachments: #1 Exhibit E Cover Sheet - Filed Under Seal, #2 Exhibit F, #3 Exhibit F-1)(Maley, John) |
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Filing 40
MINUTE ORDER for proceedings held before Magistrate Judge Doris L. Pryor: The parties appeared by telephone for a Status Conference on December 9, 2019. The parties discussed the ESI Supplement. Parties are to provide an updated ESI Supplement by 12:00 p.m. (Eastern) on December 19, 2019. This matter is scheduled for a telephonic status conference on December 20, 2019 at 8:00 a.m. (Eastern) to discuss case status. Counsel shall attend the status conference by calling the designated telephone number, to be provided by the Court via email generated by the Court's ECF system. Signed by Magistrate Judge Doris L. Pryor. (CAG)
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| Filing 36 NOTICE Regarding No Agreement on ESI Supplement, filed by Plaintiff JOSEPH P. ALLEN, IV (Attachments: #1 Supplement ESI Supplement to Case Management Plan) (Clark, Briana) |
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Filing 39
ORDER REGARDING PROTECTIVE ORDERS. See Order. Signed by Magistrate Judge Doris L. Pryor on 12/5/2019.(SWM)
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Filing 38
ORDER Regarding Discovery Disputes. See Order. Signed by Magistrate Judge Doris L. Pryor on 12/5/2019.(SWM)
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Filing 37
ORDER: CASE MANAGEMENT PLAN APPROVED AS AMENDED. Dispositive Motions due by 10/9/2020. Discovery due by 8/7/2020. Signed by Magistrate Judge Doris L. Pryor on 12/5/2019.(SWM)
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Filing 35
ENTRY STRIKING DISCOVERY: Federal Rule of Civil Procedure 5(d)(1) and Local Rule 26-2 prohibit the filing of discovery materials except when filed in relation to a motion under Fed R. Civ P. 26(c) or 37, in anticipation of use at trial or on appeal, or in response to a court order. Instead, routine discovery must be served on opposing parties using a method described under Fed. R. Civ. P. 5(b) (2). On December 4, 2019, counsel for Plaintiff filed a request for discovery. Therefore, the Court hereby STRIKES Plaintiff's First Request for Production to Defendants. [Dkt. 31.] The Clerk is directed to show Dkt. 31 as stricken from the docket. Defendants are not obligated to respond to Plaintiff's discovery requests if such requests were only served by filing them with the Court. If Plaintiff's counsel wishes to serve such discovery, such service must be effected properly under the rules. Signed by Magistrate Judge Doris L. Pryor on 12/5/2019.(SWM)
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| Filing 33 RESPONSE in Opposition re #8 MOTION to Dismiss MOTION to Transfer Case (Defendants' Motion to Dismiss or, in the Alternative, Transfer Venue) , filed by Plaintiff JOSEPH P. ALLEN, IV. (Attachments: #1 Exhibit Exhibit A - Brief ISO MTD, #2 Exhibit Exhibit B - Maryland Order, #3 Exhibit Exhibit C - Order on Guardianship Petition)(Welch, Brian) |
| Filing 31 *** STRICKEN PER ORDER DATED 12/5/2019 (Dkt. #35 ) *** Submission of Plaintiff's First Request for Production to Defendants, filed by Plaintiff JOSEPH P. ALLEN, IV. (Attachments: #1 Exhibit Plaintiff's First Request for Production of Documents to Defendants)(Welch, Brian) Modified on 12/6/2019 (SWM). |
| Filing 30 REDACTION to #10 SEALED Document (Case Participants - doc) Exhibits to Motion to Dismiss (ECF No. 9) by JOSEPH P. ALLEN, IV. (Attachments: #1 Exhibit A - Maryland Interpleader, #2 Exhibit B - Motion for Entry of Order on Interpleader, #3 Exhibit C - Motion to Dismiss Interpleader, #4 Exhibit D - Motion to Seal)(Clark, Briana) |
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Filing 32
MINUTE ORDER for proceedings held before Magistrate Judge Doris L. Pryor: The parties appeared by counsel for an Initial Pretrial Conference on December 2, 2019. The Court will approve the Case Management Plan, by separate order, with the changes to which the parties have agreed. This matter is scheduled for a telephonic status conference on December 9, 2019 at 8:00 a.m. (Eastern) to discuss the ESI Supplement that is to be filed on or before December 6, 2019 at 12:00 p.m. (Eastern). Counsel shall attend the status conference by calling the designated phone number, to be provided by the Court via email generated by the Court's ECF system. This matter is scheduled for a telephonic status conference on March 4, 2020 at 2:30 p.m. (Eastern) to discuss case status. Counsel shall attend the status conference by calling the designated phone number, to be provided by the Court via email generated by the Court's ECF system. In addition, this matter is scheduled for a settlement conference on April 30, 2020 at 1:30 p.m. (Eastern), in Room 255, United States Courthouse, 46 East Ohio Street, Indianapolis, Indiana, before Magistrate Judge Doris L. Pryor. Signed by Magistrate Judge Doris L. Pryor. (CAG)
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Filing 29
ORDER granting Plaintiff's #19 Motion to Reconsider Order on Defendant's Motion to Maintain Documents Under Seal. Plaintiff Joseph P. Allen, IV shall have up to and including December 13, 2019 by which to file redacted Exhibits A, B, C, and D. Docket No. 10, including all unredacted attachments, shall be maintained UNDER SEAL. Signed by Magistrate Judge Doris L. Pryor on 12/3/2019. (SWM)
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| Filing 27 CASE MANAGEMENT PLAN TENDERED, filed by Plaintiff JOSEPH P. ALLEN, IV . (Clark, Briana) |
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Filing 26
ORDER granting #22 Motion for Extension of Time to File Response to 12/5/2019 re #8 MOTION to Dismiss . Signed by Magistrate Judge Doris L. Pryor on 11/25/2019. (CBU)
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| Filing 25 MARGINAL ENTRY - The Court ACCEPTS Plaintiff's Jurisdictional Statement, dkt. #23 , as sufficient to establish the Court's diversity jurisdiction at this time. Signed by Judge James Patrick Hanlon on 11/20/2019.(DWH) |
| Filing 24 NOTICE of Appearance by Elizabeth S. Traylor on behalf of Plaintiff JOSEPH P. ALLEN, IV. (Traylor, Elizabeth) |
| Filing 23 Statement in Response to Notice of Removal Pursuant to Local Rule 81-1(b), by All Plaintiffs. (Clark, Briana) |
| Filing 22 Unopposed MOTION for Extension of Time to File Response to December 5, 2019 re #8 MOTION to Dismiss MOTION to Transfer Case (Defendants' Motion to Dismiss or, in the Alternative, Transfer Venue) , filed by Plaintiff JOSEPH P. ALLEN, IV. (Attachments: #1 Text of Proposed Order Granting Unopposed Second Motion for Extension of Time)(Clark, Briana) |
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Filing 21
SCHEDULING ORDER: Initial Pretrial Conference set for 12/2/2019 02:30 PM (Eastern Time) in Telephonic before Magistrate Judge Doris L. Pryor. The information needed to participate in this telephonic conference will be provided by a separate notification. No fewer than seven (7) days before the IPTC, counsel must file a Proposed CMP. See Order for additional information. Signed by Magistrate Judge Doris L. Pryor on 11/18/2019.(SWM)
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Filing 20
ORDER - More than 30 days have passed since the filing of the notice of removal, yet Plaintiff has not moved to remand or filed a response. The Court ORDERS Plaintiff to comply with Local Rule 81-1 by December 13, 2019 (SEE ORDER FOR ADDITIONAL INFORMATION). Signed by Judge James Patrick Hanlon on 11/14/2019.(DWH)
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| Filing 19 MOTION for Reconsideration re #13 Order on Motion to Seal/Maintain Under Seal Document , filed by Plaintiff JOSEPH P. ALLEN, IV. (Attachments: #1 Exhibit 1 - Maley Correspondence, #2 Exhibit 2- Guardianship Proceeding, #3 Text of Proposed Order re: Motion to Reconsider Order on Defendant's Motion to Maintain Documents Under Seal)(Clark, Briana) |
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Filing 18
ORDER: This matter comes before the Court on the Plaintiff's Unopposed Motion for Extension of Time to Respond to Defendants' Motion to Dismiss and Motion to Maintain Documents Under Seal (Dkt. [ #17 ]). The Court, being duly advised, hereby GRANTS IN PART said Motion. The deadline for the Plaintiff to respond to the Defendants' Motion to Dismiss is EXTENDED to November 25, 2019. Plaintiff represents that the Defendants' Motion to Maintain Documents Under Seal is found at Docket No. 16; instead, that motion is found at Docket No. 11. On October 23, 2019, the Court granted the Defendants' Motion to Seal because the motion indicated that the Plaintiff did not object. Accordingly, the Plaintiff's request for an extension to respond to the Motion to Seal is DENIED AS MOOT. Signed by Magistrate Judge Doris L. Pryor on 11/6/2019. (SWM)
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| Filing 17 Unopposed MOTION for Extension of Time to File Response to November 25, 2019 re #8 MOTION to Dismiss MOTION to Transfer Case (Defendants' Motion to Dismiss or, in the Alternative, Transfer Venue) and #16 (Defendants' Motion to Maintain Documents Under Seal), filed by Plaintiff JOSEPH P. ALLEN, IV. (Attachments: #1 Text of Proposed Order Granting Motion for Extension)(Clark, Briana) |
| Filing 16 NOTICE of Appearance by Briana Lynn Clark on behalf of Plaintiff JOSEPH P. ALLEN, IV. (Clark, Briana) |
| Filing 15 NOTICE of Appearance by Brian W. Welch on behalf of Plaintiff JOSEPH P. ALLEN, IV. (Welch, Brian) |
| Filing 14 NOTICE of Appearance by Gregory A. Neibarger on behalf of Plaintiff JOSEPH P. ALLEN, IV. (Neibarger, Gregory) |
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Filing 13
ORDER granting Defendants' #11 Motion to Maintain Document Under Seal. Docket No. 10, along with all attachments, shall be maintained UNDER SEAL. Signed by Magistrate Judge Doris L. Pryor on 10/23/2019. (SWM)
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| Filing 12 BRIEF/MEMORANDUM in Support re #11 MOTION to Maintain Document Under Seal #10 SEALED Document (Case Participants - doc) , filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Maley, John) |
| Filing 11 MOTION to Maintain Document Under Seal #10 SEALED Document (Case Participants - doc) , filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Attachments: #1 Text of Proposed Order)(Maley, John) |
| Filing 10 *** SEALED PER ORDER DATED 10/23/2019 *** SEALED Exhibits - Exhibits A-D, re #9 Brief/Memorandum in Support, filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Attachments: #1 Exhibit A (Part 2), #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Maley, John) Modified on 10/24/2019 (SWM). |
| Filing 9 BRIEF/MEMORANDUM in Support re #8 MOTION to Dismiss MOTION to Transfer Case (Defendants' Motion to Dismiss or, in the Alternative, Transfer Venue) , filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Maley, John) |
| Filing 8 MOTION to Dismiss , MOTION to Transfer Case (Defendants' Motion to Dismiss or, in the Alternative, Transfer Venue), filed by Defendants BROWN ADVISORY, LLC, BROWN INVESTMENT ADVISORY & TRUST COMPANY. (Attachments: #1 Text of Proposed Order)(Maley, John) |
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Filing 7
ORDER granting #4 Motion to Appear pro hac vice. Attorney David B. Hamilton for BROWN ADVISORY, LLC and BROWN INVESTMENT ADVISORY & TRUST COMPANY added. Applicant shall register for electronic filing, as required by Local Rule 5-3, within ten (10) days of the entry of this Order. Copy to David B. Hamilton via US Mail. Signed by Magistrate Judge Doris L. Pryor on 10/11/2019. (SWM)
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Filing 6
ORDER granting #3 Motion to Appear pro hac vice. Attorney Hillary V. Colonna for BROWN ADVISORY, LLC and BROWN INVESTMENT ADVISORY & TRUST COMPANY added. Applicant shall register for electronic filing, as required by Local Rule 5-3, within ten (10) days of the entry of this Order. Copy to Hillary V. Colonna via US Mail. Signed by Magistrate Judge Doris L. Pryor on 10/11/2019. (SWM)
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| Filing 5 MAGISTRATE JUDGE's NOTICE of Availability to Exercise Jurisdiction issued. (REO) |
| Filing 4 MOTION for Attorney(s) David B. Hamilton to Appear pro hac vice (Filing fee $100, receipt number 0756-5670166), filed by Defendants Brown Advisory, LLC, Brown Investment Advisory & Trust Co.. (Attachments: #1 Affidavit Certification of Hamilton, #2 Text of Proposed Order)(Maley, John) |
| Filing 3 MOTION for Attorney(s) Hillary V. Colonna to Appear pro hac vice (Filing fee $100, receipt number 0756-5670090), filed by Defendants Brown Advisory, LLC, Brown Investment Advisory & Trust Co.. (Attachments: #1 Affidavit Certification of Colonna, #2 Text of Proposed Order)(Maley, John) |
| Filing 2 NOTICE of Appearance by John R. Maley on behalf of Defendants Brown Advisory, LLC, Brown Investment Advisory & Trust Co.. (Maley, John) |
| Filing 1 NOTICE OF REMOVAL from Montgomery Circuit Court, case number 54C01-1910-PL-001103, filed by Brown Investment Advisory & Trust Co., Brown Advisory, LLC. (Filing fee $400, receipt number 0756-5669788) (Attachments: #1 Civil Cover Sheet, #2 State Court Record Appearance, Complaint, Summons, Summons, Certif. of Issuance of Summons, Summon, Summons, Certif. of Issuance of Summons, Return of Service, Return of Service, #3 Exhibit State Court Complaint)(Maley, John) |
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