WAGNER v. BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC et al
Plaintiff: DONNA WAGNER
Defendant: BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC and MARK CHRISTOPHER PERRY
Case Number: 1:2021cv01787
Filed: June 16, 2021
Court: US District Court for the Southern District of Indiana
Presiding Judge: Mario Garcia
Referring Judge: James Patrick Hanlon
Nature of Suit: Other Statutes: Arbitration
Cause of Action: 09 U.S.C. ยง 0010
Jury Demanded By: None
Docket Report

This docket was last retrieved on July 27, 2021. A more recent docket listing may be available from PACER.

Date Filed Document Text
July 27, 2021 Filing 26 REPLY in Support of Motion re #18 MOTION to Remand this case to the Circuit Court of Hamilton County, Indiana , filed by Plaintiff DONNA WAGNER. (Attachments: #1 Exhibit 1 - Opinion and Order)(Maddox, Mark)
July 26, 2021 Filing 25 MOTION for Oral Argument on Plaintiff's Motion to Remand, filed by Defendants BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC, MARK CHRISTOPHER PERRY. (Florence, David)
July 21, 2021 Filing 24 RESPONSE in Opposition re #18 MOTION to Remand this case to the Circuit Court of Hamilton County, Indiana , filed by Defendants BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC, MARK CHRISTOPHER PERRY. (Ackerman, Joseph)
July 15, 2021 Opinion or Order Filing 23 ORDER granting in part #9 Motion for Extension of Time to File Response to 8/18/2021 re #3 MOTION to Vacate Arbitration Award. The deadline for Defendants to file a reply in support of their Motion to Vacate is extended to September 1, 2021. Plaintiff's Motion is DENIED in all other respects. Signed by Magistrate Judge Mario Garcia on 7/15/2021. (CBU)
July 14, 2021 Filing 22 Submission of Signature Requirement re #21 Surreply by BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC, MARK CHRISTOPHER PERRY. (Cockrum, Scott)
July 13, 2021 Filing 21 Surreply re #9 MOTION for Extension of Time to File Response re #3 MOTION to Vacate Arbitration Award Pending Plaintiff's Motion to Remand , filed by Defendants BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC, MARK CHRISTOPHER PERRY. (Ackerman, Joseph)
July 13, 2021 Filing 20 REPLY in Support of Motion re #9 MOTION for Extension of Time to File Response re #3 MOTION to Vacate Arbitration Award Pending Plaintiff's Motion to Remand , filed by Plaintiff DONNA WAGNER. (Attachments: #1 Exhibit 1 - Email, #2 Exhibit 2 - Screenshot of FINRA DR Portal)(Maddox, Mark)
July 9, 2021 Filing 19 RESPONSE in Opposition re #9 MOTION for Extension of Time to File Response re #3 MOTION to Vacate Arbitration Award Pending Plaintiff's Motion to Remand , filed by Defendants BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC, MARK CHRISTOPHER PERRY. (Attachments: #1 Affidavit Declaration in Support of Opposition, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4)(Ackerman, Joseph) Modified on 7/12/2021 - took out duplicate docket text (AKH).
July 7, 2021 Filing 18 MOTION to Remand this case to the Circuit Court of Hamilton County, Indiana, filed by Plaintiff DONNA WAGNER. (Maddox, Mark)
July 1, 2021 Opinion or Order Filing 17 ORDER - Plaintiff Donna Wagner has filed a Motion for Extension of Time, #9 , in which to respond to a Motion to Vacate Arbitration Award, #3 , filed by Defendants Brokers International Financial Services, LLC and Mark Christopher Perry. Defendants are ORDERED to respond to Plaintiff's Motion for Extension of Time, #9 , by no later than July 9, 2021 indicating their position as to Plaintiff's request to stay briefing until after a ruling on the forthcoming Motion to Remand. The deadline for Plaintiff to file her response to Defendants' Motion to Vacate, #3 , is STAYED until the Court rules on Plaintiff's pending Motion for Extension of Time, at which time the Court will either set a response deadline or stay the deadline until a ruling on the forthcoming Motion to Remand. Signed by Magistrate Judge Mario Garcia on 7/1/2021.(NAD)
June 30, 2021 Filing 16 Corporate Disclosure Statement by BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC identifying Corporate Parent Integrity Marketing, LLC, Corporate Parent Integrity Marketing Parent, LLC, Corporate Parent Integrity Marketing Intermediate, LLC, Corporate Parent Integrity Marketing Acquisition, LLC, Corporate Parent Integrity Marketing Partners, LLC, Corporate Parent GoldenCare Holdings, Inc., Corporate Parent AIM, LLC for BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC.. (Cockrum, Scott)
June 29, 2021 Opinion or Order Filing 15 ORDER granting #13 Motion to Appear pro hac vice. Attorney David M. Florence for BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC and MARK CHRISTOPHER PERRY added. Counsel David M. Florence 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 M. Florence via US Mail. Signed by Magistrate Judge Mario Garcia on 6/29/2021. (SWM)
June 29, 2021 Opinion or Order Filing 14 ORDER granting #12 Motion to Appear pro hac vice. Attorney Connie M. Fickel for BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC and MARK CHRISTOPHER PERRY added. Signed by Magistrate Judge Mario Garcia on 6/29/2021. (SWM)
June 28, 2021 Filing 13 MOTION for Attorney(s) David M. Florence to Appear pro hac vice (Filing fee $100, receipt number 0756-6631478), filed by Defendants BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC, MARK CHRISTOPHER PERRY. (Attachments: #1 Exhibit A - Certfication, #2 Text of Proposed Order)(Cockrum, Scott)
June 28, 2021 Filing 12 MOTION for Attorney(s) Connie M. Fickel to Appear pro hac vice (Filing fee $100, receipt number 0756-6631426), filed by Defendants BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC, MARK CHRISTOPHER PERRY. (Attachments: #1 Exhibit A - Certfication, #2 Text of Proposed Order)(Cockrum, Scott)
June 28, 2021 Filing 11 NOTICE to File Corporate Disclosure Statement to BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. (RAGS) (DWH)
June 25, 2021 Filing 10 NOTICE of Appearance by Thomas K. Caldwell on behalf of Plaintiff DONNA WAGNER. (Caldwell, Thomas)
June 25, 2021 Filing 9 MOTION for Extension of Time to File Response re #3 MOTION to Vacate Arbitration Award Pending Plaintiff's Motion to Remand, filed by Plaintiff DONNA WAGNER. (Attachments: #1 Text of Proposed Order)(Maddox, Mark)
June 25, 2021 Filing 8 NOTICE of Appearance by Mark E. Maddox on behalf of Plaintiff DONNA WAGNER. (Maddox, Mark)
June 18, 2021 Filing 7 PRACTICES AND PROCEDURES before Judge James Patrick Hanlon. (MAC)
June 17, 2021 Filing 6 MAGISTRATE JUDGE's NOTICE of Availability to Exercise Jurisdiction issued. (DJH)
June 16, 2021 Filing 5 NOTICE of Appearance by Joseph Damien Ackerman on behalf of Defendants BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC, MARK CHRISTOPHER PERRY. (Ackerman, Joseph)
June 16, 2021 Filing 4 BRIEF/MEMORANDUM in Support re #3 MOTION to Vacate Arbitration Award , filed by Defendants BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC, MARK CHRISTOPHER PERRY. (Attachments: #1 Exhibit 1 - State Court Complaint, #2 Exhibit 2 - Motion for Entry, #3 Exhibit 3 - Agreed Judgment, #4 Exhibit 4 - SOC, #5 Exhibit 5 - Answer to SOC, #6 Exhibit 6 - Deficiency Notice, #7 Exhibit 7 - Response to Deficiency Notice, #8 Exhibit 8 - Motion to Dismiss, #9 Exhibit 9 - Response to Motion to Dismiss, #10 Exhibit 10 - Order Denying Motion to Dismiss, #11 Exhibit 11 - Second Motion to Dismiss, #12 Exhibit 12 - Response to Motion to Dismiss, #13 Exhibit 13 - Reply in Support of Motion to Dismiss, #14 Exhibit 14 - Surreply, #15 Exhibit 15 - Response to Surreply, #16 Exhibit 16 - Order Denying MTD, #17 Exhibit 17 - Third MTD, #18 Exhibit 18 - Order Denying MTD, #19 Exhibit 19 - Transcript 1, #20 Exhibit 20 - Transcript 3, #21 Exhibit 21 - Transcript 2, #22 Exhibit 22 - Motion for Directed Verdict, #23 Exhibit 23 - Order Denying MTD, #24 Exhibit 24 - Award, #25 Exhibit FINRA Rules)(Cockrum, Scott)
June 16, 2021 Filing 3 MOTION to Vacate Arbitration Award, filed by Defendants BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC, MARK CHRISTOPHER PERRY. (Cockrum, Scott)
June 16, 2021 Filing 2 NOTICE of Appearance by Scott B. Cockrum on behalf of Defendants BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC, MARK CHRISTOPHER PERRY. (Cockrum, Scott)
June 16, 2021 Filing 1 NOTICE OF REMOVAL from Hamilton County Circuit Court, case number 29C01-2105-PL-0003448, filed by All Defendants. (Filing fee $402, receipt number 0756-6615309) (Attachments: #1 State Court Record Exhibit 1 (Docket Sheet, Petition and Motion to Confirm Arbitration Award, Brief in Support of Motion to Confirm, Declaration, Appearance, Appearance, Summons to Brokers International, Summons to Mark Perry, Certificate of Issuance of Summons - Brokers, Certificate of Issuance of Summons - Perry, Return of Service - Brokers, Return of Service Perry, Appearance, Appearance, Motion for Enlargement, Order Granting Motion for Enlargement, #2 Exhibit 2 - Operative Pleading, #3 Civil Cover Sheet)(Cockrum, Scott)

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Defendant: BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC
Represented By: Scott B. Cockrum
Represented By: Joseph Damien Ackerman
Represented By: Connie M. Fickel
Represented By: David M. Florence
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Defendant: MARK CHRISTOPHER PERRY
Represented By: Scott B. Cockrum
Represented By: Joseph Damien Ackerman
Represented By: Connie M. Fickel
Represented By: David M. Florence
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Plaintiff: DONNA WAGNER
Represented By: Mark E. Maddox
Represented By: Thomas K. Caldwell
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