J.P. MORGAN SECURITIES LLC v. WEISS
| J.P. MORGAN SECURITIES LLC |
| ERIK W WEISS and ERIK W. WEISS |
| 1:2019cv04163 |
| October 9, 2019 |
| US District Court for the Southern District of Indiana |
| Matthew P Brookman |
| Tanya Walton Pratt |
| Contract: Other |
| 28 U.S.C. § 1332 |
| None |
Docket Report
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This docket was last retrieved on November 26, 2019. A more recent docket listing may be available from PACER.
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| Filing 46 MARGINAL ENTRY - Acknowledging #45 Notice of Posting Bond. Signed by Judge Tanya Walton Pratt on 11/26/2019.(NAD) |
| Filing 45 NOTICE of Posting Bond, filed by Plaintiff J.P. MORGAN SECURITIES LLC, re #44 Order. (Attachments: #1 Exhibit Bond from Travelers Casualty and Surety Company) (Hagenow, Christopher) |
Filing 44
STIPULATED ORDER EXTENDING TEMPORARY RESTRAINING ORDER; IT IS HEREBY STIPULATED and AGREED, by and between the undersigned counsel for JPMorgan and Weiss, and ORDERED that: The TRO shall remain in full force and effect until such time as a FINRA Dispute Resolution arbitration panel rules on JPMorgan's request for permanent injunctive relief (either after a hearing on the merits or pursuant to an agreement between the parties) in the related FINRA arbitration pending between the parties; JPMorgan and Weiss waive their right to a preliminary injunction and the Court need not take any further action on JPMorgan's request for a preliminary injunction. JPMorgan shall post a bond in the amount of $50,000 within three (3) business days after this Stipulated Order is entered. Signed by Judge Tanya Walton Pratt on 11/22/2019. (CKM)
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Filing 43
MINUTE ORDER for proceedings held before Magistrate Judge Matthew P. Brookman: Status Conference held on 11/21/2019. Parties were represented by counsel. No further orders are entered at this time. Signed by Magistrate Judge Matthew P. Brookman. (TMB)
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| Filing 42 STIPULATION Extending Temporary Restraining Order, re #34 Order on Motion for TRO, filed by Plaintiff J.P. MORGAN SECURITIES LLC. (Attachments: #1 Exhibit A- Order)(Hagenow, Christopher) |
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Filing 41
ORDER - granting #40 Motion for Extension of Time to File ; It is, therefore, ORDERED, ADJUDGED, and DECREED that J.P. Morgan is granted an extension of time to post security in this case pursuant to the Court's Temporary Restraining Order, and that such security shall be posted by J.P. Morgan within two (2) business days following the Magistrate Judge's ruling concerning the appropriate amount of the security to be posted in this case. Signed by Judge Tanya Walton Pratt on 11/21/2019. (CKM)
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| Filing 40 MOTION for Extension of Time to 11/25/2019 Blackwell, Burke & Ramsey, P.C., filed by Plaintiff J.P. MORGAN SECURITIES LLC. (Attachments: #1 Text of Proposed Order Order on Motion for Extension of Time)(Hagenow, Christopher) |
| Filing 39 MOTION for Extension of Time to 11/25/2019 Blackwell, Burke & Ramsey, P.C., filed by Plaintiff J.P. MORGAN SECURITIES LLC. (Hagenow, Christopher) |
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Filing 37
SCHEDULING ORDER: TELEPHONIC STATUS CONFERENCE on NOVEMBER 21, 2019 at 2:30 p.m., Indianapolis time (EST), before the Honorable Matthew P. Brookman, United States Magistrate Judge. The information needed by counsel to participate in this telephonic conference will be provided by a separate notification. Signed by Magistrate Judge Matthew P. Brookman on 11/20/2019.(JRB)
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| Filing 36 NOTICE of FILING of OFFICIAL TRANSCRIPT of Hearing on Temporary Restraining Order held before Judge Tanya Walton Pratt on 11/08/2019 (Moxley, David) |
| Filing 35 TRANSCRIPT of Hearing on Temporary Restraining Order held on 11/08/2019 before Judge Tanya Walton Pratt. (48 pages.) Court Reporter/Transcriber: David Moxley (Telephone: (317) 416-1749). Please review #Local Rule 80-2 for more information on redaction procedures. Redaction Statement due 12/9/2019. Release of Transcript Restriction set for 2/18/2020. (Moxley, David) |
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Filing 34
ORDER ON PLAINTIFF'S #3 MOTION FOR TEMPORARY RESTRAINING ORDER - For the reasons stated above, JPMorgan's Motion for Temporary Restraining Order (Filing No. #3 ) is GRANTED. A Temporary Restraining Order is hereby issued immediately. JPMorgan shall post security no later than November 20, 2019. The parties are DIRECTED to determine the appropriate amount of security during the conference with the Magistrate Judge as ordered below. Weiss, and all those acting in concert with him, including but not limited to the directors, officers, employees, and agents of Raymond James, are further ORDERED to return to JPMorgan or its counsel all records, documents, and/or information in whatever form (whether original, copied, computerized, electronically stored, or handwritten), pertaining to JPMorgan's clients, employees and business, within 24 hours of notice to Weiss or his counsel of the terms of this Order. This Order shall remain in full force and effect for a period of fourteen (14) days pursuant to Federal Rule of Civil Procedure 65. The parties are DIRECTED to proceed with arbitration in accordance with Rule 13804 of the FINRA Code of Arbitration Procedure for Industry Disputes. The parties are ORDERED to promptly contact the Magistrate Judge to schedule a conference to discuss whether preliminary injunctive relief will be sought, and if such relief will be sought, to discuss a discovery and briefing schedule. If necessary, a hearing on JPMorgan's request for a preliminary injunction will be set following the parties' conference with the Magistrate Judge. (See Order.) Signed by Judge Tanya Walton Pratt on 11/15/2019. (NAD)
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| Filing 33 MINUTE ENTRY for motion hearing held before Judge Tanya Walton Pratt on 11/8/2019: Parties appeared by counsel. Argument heard. Defendant's exhibit 31 was admitted without objection. This matter was taken under advisement. Signed by Judge Tanya Walton Pratt. (Court Reporter David Moxley.) (Attachments: #1 Exhibit 31)(TRG) |
| Filing 32 Appendix of Exhibits in Support of Response in Opposition to Motion re #3 MOTION for Temporary Restraining Order SUPPLEMENT TO APPENDIX OF EXHIBITS FOR DEFENDANTS BRIEF IN OPPOSITION TO PLAINTIFFS MOTION FOR A TEMPORARY RESTRAINING ORDER, filed by Defendant ERIK W. WEISS. (Attachments: #1 Exhibit 28 (Declaration of Robert Parker), #2 Exhibit 29 (Declaration of Penny Smith), #3 Exhibit 30 (Declaration of Dr. David Mandelbaum))(Zweig, Sally) |
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Filing 31
MINUTE ORDER for proceedings held before Magistrate Judge Matthew P. Brookman: Status Conference held on 10/30/2019. Parties were represented by counsel. No further orders are entered at this time. Signed by Magistrate Judge Matthew P. Brookman. (TMB)
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| Filing 30 DECLARATION of Julie K. Glynn re #29 Brief/Memorandum in Support by J.P. MORGAN SECURITIES LLC. (Attachments: #1 Exhibit Ex A - Protocol, #2 Exhibit Ex B- Letter, #3 Exhibit Ex C- Email, #4 Exhibit Ex D- List, #5 Exhibit Ex E - List, #6 Exhibit Ex F- Joinder Agreement)(Hagenow, Christopher) |
| Filing 29 BRIEF/MEMORANDUM in Support Reply in Support of Motion re #3 MOTION for Temporary Restraining Order , filed by Plaintiff J.P. MORGAN SECURITIES LLC. (Attachments: #1 Exhibit Ex 1 - Order, #2 Exhibit Ex 2- Notice, #3 Exhibit Ex 3- Letter of Acceptance, Waiver)(Hagenow, Christopher) |
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Filing 27
SCHEDULING ORDER: Telephonic Status Conference set for 10/30/2019 at 11:00 AM (Eastern Time) before Magistrate Judge Matthew P. Brookman. Signed by Magistrate Judge Matthew P. Brookman on 10/29/2019.(TMB)
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| Filing 26 BRIEF/MEMORANDUM in Support Reply in Support of Motion re #3 MOTION for Temporary Restraining Order Further Support of its Request for Expedited Discovery, filed by Plaintiff J.P. MORGAN SECURITIES LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Hagenow, Christopher) |
| Filing 25 Appendix of Exhibits in Support of Response in Opposition to Motion re #3 MOTION for Temporary Restraining Order , filed by Defendant ERIK W. WEISS. (Attachments: #1 Exhibit 1 (Declaration of Erik W. Weiss), #2 Exhibit 2 (December 26, 2001 NASD Press Release), #3 Exhibit 3 (Merrill Lynch v. Abdallah, No. 45D11-0608-PL-77 at *9 (Ind. Super. Ct., August 17, 2006)(Slip. Op.)), #4 Exhibit 4 (FINRA Rule 13804), #5 Exhibit 5 (JPMorgan Seeks TRO Against Bank Broker Who Joined RayJay, AdvisorHub, October 10, 2019), #6 Exhibit 6 (JPMorgan Chase & Co. About Us), #7 Exhibit 7 (Relevant Section of JPMorgan Chase & Co.s Form 10-K, December 31, 2013), #8 Exhibit 8 (Key Investment Services, Inc. v. Cedarleaf, et al., E2019004795, (Sup. Ct. Monroe Cnty. Sept. 04, 2019)), #9 Exhibit 9 (Client Declarations ), #10 Exhibit 10 (JPMorgan Chase Bank, N.A., and J.P. Morgan Securities, LLC v. Alfred G. Sickinger and Brian J. Lamb, U.S. District Court, Eastern District of Michigan Southern Division, Case Number 15-10629, Preliminary Injunction Hearing Tr., 8, March 4, 2015), #11 Exhibit 11 (September 26, 2019 Correspondence from JPMorgan to Erik Weiss), #12 Exhibit 12 (Chase Investment Services Corp. v. Hajdari, et al., Index No. 601106/09 (Sup. Ct. New York Cnty., Apr. 13, 2009)), #13 Exhibit 13 (Chase Investment Services Corp. v. Dan Uhm, et al., Case No. 09-2-18390-2SEA Order), #14 Exhibit 14 (JPMorgans Motions for Injunctive Relief Filed throughout the US from 2009-2018), #15 Exhibit 15 (September 14, 2019 Correspondence from E. Weiss to JPMorgan), #16 Exhibit 16 (JPMorgan Chase & Co.s Form 10-K, December 31, 2007 ), #17 Exhibit 17 (Protocol for Broker Recruiting), #18 Exhibit 18 (JPMorgans Protocol Joinder Agreement), #19 Exhibit 19 (SEC Release, at pp. 41-44 (relevant excerpts), #20 Exhibit 20 (NASD Notice to Members 01-36), #21 Exhibit 21 (SEC Approved Adoption of IM-2110-7), #22 Exhibit 22 (FINRA Rule 2140), #23 Exhibit 23 (NASAA Statement Dated November 19, 2001), #24 Exhibit 24 (FINRA Regulatory Notice 19-10), #25 Exhibit 25 (Erik Weiss Resignation Letter), #26 Exhibit 26 (A.G. Edwards & Sons v. Stifel, Nicolaus & Co., No. 07-02897 (FINRA 2007)), #27 Exhibit 27 (How Changing Firms Impacts a Brokers Book of Business, Advisor Perspectives (April 10, 2018)))(Zweig, Sally) |
| Filing 24 RESPONSE in Opposition re #3 MOTION for Temporary Restraining Order , filed by Defendant ERIK W. WEISS. (Zweig, Sally) |
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Filing 23
MINUTE ORDER for proceedings held before Magistrate Judge Matthew P. Brookman: Status Conference held on 10/10/2019. Parties were represented by counsel. No further orders are entered at this time. Signed by Magistrate Judge Matthew P. Brookman. (TMB)
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| Filing 22 Appendix of Exhibits re #21 Response in Opposition to Motion DEFENDANTS BRIEF IN OPPOSITION TO PLAINTIFFS MOTION FOR AN ORDER PERMITTING EXPEDITED DISCOVERY, filed by Defendant ERIK W. WEISS. (Attachments: #1 Exhibit 1 (Key Investment Services, Inc. v. Karl Cedarleaf, et al.), #2 Exhibit 2 (FINRA Code Rule 13804(a)(1)), #3 Exhibit 3 (FINRA Code Rule 13510), #4 Exhibit 4 (FINRA Code Rule 13506(b)), #5 Exhibit 5 (FINRA Code Rule 13507))(Zweig, Sally) Modified on 10/18/2019 - Edited title to match caption(NAD). |
| Filing 21 RESPONSE in Opposition re #3 MOTION for Temporary Restraining Order DEFENDANTS BRIEF IN OPPOSITION TO PLAINTIFFS MOTION FOR AN ORDER PERMITTING EXPEDITED DISCOVERY, filed by Defendant ERIK W. WEISS. (Zweig, Sally) |
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Filing 20
ORDER granting #18 Motion to Appear pro hac vice. Attorney David W. Erb for ERIK W. WEISS added. Copy sent to counsel via US Mail. Signed by Magistrate Judge Matthew P. Brookman on 10/16/2019. (JRB)
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Filing 19
SCHEDULING ORDER - Plaintiff's Motion for Temporary Restraining Order (Dkt. #3 ) is set for hearing on Friday, November 8, 2019 at 9:00 a.m. in Courtroom 344, Birch Bayh Federal Building and U.S. Courthouse, Indianapolis, Indiana. Parties are allotted a total of one hour. Witness and exhibit lists are due no later than November 1, 2019. Signed by Judge Tanya Walton Pratt on 10/15/2019. (NAD)
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| Filing 18 MOTION for Attorney(s) David W. Erb to Appear pro hac vice (Filing fee $100, receipt number 0756-5675990), filed by Defendant ERIK W. WEISS. (Attachments: #1 Exhibit A (Certification of David W. Erb), #2 Text of Proposed Order)(Zweig, Sally) |
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Filing 17
ORDER granting #12 Motion to Appear pro hac vice. Attorney Steven Castaldo for ERIK W. WEISS added. Copy sent to Defendant via US Mail. Signed by Magistrate Judge Matthew P. Brookman on 10/11/2019. (JRB)
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Filing 16
ORDER granting #15 Motion to Appear pro hac vice. Attorney Jeffrey M. Csercsevits for ERIK W. WEISS added. Copy sent to counsel via US Mail. Signed by Magistrate Judge Matthew P. Brookman on 10/11/2019. (JRB)
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| Filing 15 MOTION for Attorney(s) Jeffrey M. Csercsevits to Appear pro hac vice (Filing fee $100, receipt number 0756-5671578), filed by Defendant ERIK W. WEISS. (Attachments: #1 Exhibit A- Certification of Jeffrey M. Csercsevits, #2 Text of Proposed Order)(Zweig, Sally) |
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Filing 13
SCHEDULING ORDER: Telephonic Status Conference set for 10/10/2019 at 04:00 PM (Eastern Time) before Magistrate Judge Matthew P. Brookman. Signed by Magistrate Judge Matthew P. Brookman on 10/10/2019.(TMB)
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| Filing 12 MOTION for Attorney(s) Steven Castaldo to Appear pro hac vice (Filing fee $100, receipt number 0756-5671177), filed by Plaintiff J.P. MORGAN SECURITIES LLC. (Attachments: #1 Exhibit Certification, #2 Text of Proposed Order)(Hagenow, Christopher) |
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Filing 11
ORDER - This matter is before the Court regarding Plaintiff's Motion for a Temporary Restraining Order and an Order Permitting Expedited Discovery (Dkt. #3 ). The parties are to meet with Magistrate Judge Brookman to discuss an expedited discovery plan, briefing schedule, and to determine a date for the hearing on relief, as well as the estimated time required for such hearing. Counsel for Plaintiff shall serve a copy of this order on Defendant. Signed by Judge Tanya Walton Pratt on 10/10/2019.(NAD)
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| Filing 10 MAGISTRATE JUDGE's NOTICE of Availability to Exercise Jurisdiction issued. (REO) |
| Filing 9 Summons Issued as to ERIK W. WEISS. (REO) |
| Filing 8 NOTICE of Appearance by Sally F. Zweig on behalf of Defendant ERIK W WEISS. (Zweig, Sally) |
| Filing 7 Corporate Disclosure Statement by J.P. MORGAN SECURITIES LLC identifying Corporate Parent JPMORGAN CHASE & CO. for J.P. MORGAN SECURITIES LLC.. (Hagenow, Christopher) |
| Filing 6 DECLARATION of Leonard Weintraub re #3 Motion for TRO by J.P. MORGAN SECURITIES LLC. (Attachments: #1 Exhibit A, #2 Exhibit B)(Hagenow, Christopher) |
| Filing 5 DECLARATION of Susan A. Chipps re #3 Motion for TRO by J.P. MORGAN SECURITIES LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Hagenow, Christopher) |
| Filing 4 BRIEF/MEMORANDUM in Support re #3 MOTION for Temporary Restraining Order , filed by Plaintiff J.P. MORGAN SECURITIES LLC. (Attachments: #1 Appendix)(Hagenow, Christopher) |
| Filing 3 MOTION for Temporary Restraining Order , filed by Plaintiff J.P. MORGAN SECURITIES LLC. (Attachments: #1 Text of Proposed Order)(Hagenow, Christopher) |
| Filing 2 NOTICE of Appearance by Christopher Charles Hagenow on behalf of Plaintiff J.P. MORGAN SECURITIES LLC. (Hagenow, Christopher) |
| Filing 1 COMPLAINT (Injunctive Relief Sought) against ERIK W WEISS, filed by J.P. MORGAN SECURITIES LLC. (Filing fee $400, receipt number 0756-5670128) (Attachments: #1 Civil Cover Sheet, #2 Proposed Summons)(Hagenow, Christopher) |
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