J.P. Morgan Securities LLC v. Smith
Plaintiff: J.P. Morgan Securities LLC
Defendant: Stephen C. Smith, JR and Stephen C Smith, Jr.
Case Number: 3:2022cv00238
Filed: April 11, 2022
Court: US District Court for the Middle District of Louisiana
Presiding Judge: Shelly D Dick
Referring Judge: Erin Wilder-Doomes
Nature of Suit: Contract: Recovery/Enforcement
Cause of Action: 28 U.S.C. ยง 1332 Diversity-Contract Dispute
Jury Demanded By: None
Docket Report

This docket was last retrieved on June 2, 2022. A more recent docket listing may be available from PACER.

Date Filed Document Text
June 2, 2022 Opinion or Order Filing 32 GENERAL ORDER: All pleadings and other papers filed under seal in civil and criminal actions shall be maintained under seal for thirty days following final disposition of the action. After that time, all sealed pleadings and other papers shall be placed in the case record unless a District Judge or Magistrate Judge, upon motion and for good cause shown, orders that the pleading or other paper be maintained under seal. The deadline for filing any motions regarding the unsealing of any document shall be within thirty days of the final disposition of any action and shall contain a concise statement of reasons for maintaining the pleading or other paper under seal. ATTENTION: If a motion to retain documents under seal is NOT filed, all documents shall be placed in the public case record, unless specifically identified in the attached General Order. Signed by Chief Judge Shelly D. Dick on 7/8/2019. (SWE)
June 2, 2022 Opinion or Order Filing 31 ORDER: Considering the #30 Stipulation of Dismissal, the above-captioned and entitled action brought by J.P. Morgan Securities LLC is voluntarily dismissed, without prejudice, against defendant, Stephen C. Smith, Jr., pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii), each party to bear their own costs. Signed by Chief Judge Shelly D. Dick on 6/2/2022. (SWE)
June 1, 2022 Filing 30 STIPULATION of Dismissal Pursuant to F.R.C.P. 41(a)(1)(A)(ii) by J.P. Morgan Securities LLC. (Hite, John)
May 20, 2022 Filing 29 STIPULATED PRELIMINARY INJUNCTION: as to #1 Complaint and Preliminary Injunction, filed by J.P. Morgan Securities LLC and Stephen C. Smith, Jr. The parties stipulate to the terms set forth in the attached Stipulated Preliminary Injunction. The hearing on the Preliminary Injunction set for 5/31/2022 is CANCELLED. Signed by Chief Judge Shelly D. Dick on 5/20/2022. (SWE)
May 19, 2022 Filing 28 Stipulated Preliminary Injunction by J.P. Morgan Securities LLC. (Hite, John) Modified on 5/24/2022 to edit the text (NLT).
May 18, 2022 Opinion or Order Filing 27 ORDER: Considering that the Court has a criminal trial set for 6/2/2022, the Evidentiary Hearing is re-set for 5/31/2022 through 6/1/2022 at 09:00 AM in Courtroom 3. Signed by Chief Judge Shelly D. Dick on 5/18/2022. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.)(SWE)
May 18, 2022 Opinion or Order Filing 26 ORDER granting #25 Joint Content Motion for An Agreed Protective Order and Order Governing Electronic Discovery, and Request for Entry of the Order on an Expedited Basis. Signed by Chief Judge Shelly D. Dick on 5/18/2022. (SWE)
May 17, 2022 Filing 25 Joint Consent MOTION for an Agreed Protective Order and Order Governing Electronic Discovery and Request for Entry of the Order on an Expedited Basis by J.P. Morgan Securities LLC. (Attachments: #1 Agreed Protective Order and Order Governing Electronic Discovery)(Hite, John) Modified on 5/18/2022 to edit text. (EDC).
April 29, 2022 Opinion or Order Filing 23 ORDER: In light of the Court's #13 Order, the #8 MOTION to Strike #2 MOTION for Temporary Restraining Order and Preliminary Injunction and Motion for Expedited Discovery is DENIED AS MOOT . Signed by Chief Judge Shelly D. Dick on 4/29/2022. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (SWE)
April 28, 2022 Filing 24 Minute Entry for proceedings held before Chief Judge Shelly D. Dick: Telephone Conference held on 4/28/2022. Status of the case was discussed. The Court granted the defendant's #22 Motion for Leave to Conduct Mutual Expedited Discovery, but will not reconsider the third-party discovery of Ameriprise. Evidentiary Hearing on the Preliminary Injunction is set for 6/1/2022 at 09:00 AM in Courtroom 3 before Chief Judge Shelly D. Dick. (SWE)
April 27, 2022 Filing 22 MOTION for Leave to Conduct Mutual Expedited Discovery by Stephen C Smith, Jr. (Attachments: #1 Memorandum in Support, #2 Attachment proposed Order)(Joyce, John)
April 26, 2022 Opinion or Order Filing 21 RULING AND ORDER: Plaintiff is permitted expedited discovery of Defendant in conformance with this Ruling and Order. Telephone Conference is set for 4/28/2022 at 02:30 PM before Chief Judge Shelly D. Dick to discuss the setting of this matter for a preliminary injunction hearing and the scope of discovery. Signed by Chief Judge Shelly D. Dick on 4/26/2022. (SWE)
April 25, 2022 Opinion or Order Filing 20 SCHEDULING CONFERENCE ORDER: Scheduling Conference set for 7/7/2022 at 10:30 AM in chambers before Magistrate Judge Erin Wilder-Doomes. Status Report due by 6/23/2022. Signed by Magistrate Judge Erin Wilder-Doomes on 4/25/2022. (BLR)
April 25, 2022 Opinion or Order Filing 19 ORDER granting #18 Motion for Michael V. Colvin to Appear Pro Hac Vice. ATTENTION: Local counsel shall provide the following link to those attorneys granted leave to proceed pro hac vice in the Middle District of Louisiana who choose to register for e-file access #www.lamd.uscourts.gov/pro-hac-vice-e-filing-registration. Signed by Magistrate Judge Erin Wilder-Doomes on 4/25/2022. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (BLR)
April 25, 2022 MOTION(S) REFERRED: #18 MOTION for Michael V. Colvin to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number ALAMDC-2420294). This motion is now pending before the USMJ. (BLR)
April 22, 2022 Filing 18 MOTION for Michael V. Colvin to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number ALAMDC-2420294) by Stephen C Smith, Jr. (Attachments: #1 Declaration, #2 Exhibit Certificate of Good Standing, #3 Proposed Order)(Joyce, John)
April 21, 2022 Filing 17 BRIEF regarding #13 Order,, Set Deadlines, Addressing and in Support of Entitlement to and Necessity of a Hearing on the Motion for Preliminary Injunction. (Attachments: #1 Exhibit 1, Rule 13804 of the FINRA Code, #2 Exhibit 2, Rule 13100(dd) of the FINRA Code, #3 Exhibit 3, J.P. Morgan Securities L.L.C. v Stephen B. Browne, 21-cv-00338)(Hite, John)
April 21, 2022 Filing 16 BRIEF regarding #7 MEMORANDUM in Opposition,,, Addressing the Impropriety of the Requested Preliminary Injunction Hearing filed by Stephen C Smith, Jr. (Attachments: #1 Exhibit A: FINRA Rule 13804, #2 Exhibit B: Filed Declaration of Nichole M. Baaki, #3 Exhibit C: Declaration of M. Coffee, #4 Exhibit D: Courtney Wagner Declaration, #5 Exhibit E: Declaration of Courtney M. Wagner)(Joyce, John)
April 21, 2022 Opinion or Order Filing 15 ORDER granting #14 Motion for Michael S. Taaffe to Appear Pro Hac Vice. ATTENTION: Local counsel shall provide the following link to those attorneys granted leave to proceed pro hac vice in the Middle District of Louisiana who choose to register for e-file access #www.lamd.uscourts.gov/pro-hac-vice-e-filing-registration. Signed by Magistrate Judge Erin Wilder-Doomes on 4/21/2022. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (BLR)
April 21, 2022 MOTION(S) REFERRED: #14 MOTION for Michael S. Taaffe to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number ALAMDC-2419710). This motion is now pending before the USMJ. (ELW)
April 20, 2022 Filing 14 MOTION for Michael S. Taaffe to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number ALAMDC-2419710) by Stephen C Smith, Jr. (Attachments: #1 Declaration, #2 Certificate of Good Standing, #3 Proposed Order)(Joyce, John)
April 19, 2022 Opinion or Order Filing 13 ORDER: The #2 MOTION for Temporary Restraining Order and Preliminary Injunction and Motion for Expedited Discovery is DENIED in part and DEFERRED in part. Parties shall file simultaneous briefs, not to exceed 20 pages, addressing the necessity of a hearing on the Motion for Preliminary Injunction on or before 4/21/2022. Signed by Chief Judge Shelly D. Dick on 4/19/2022. (SWE)
April 13, 2022 Filing 12 Minute Entry for proceedings held before Chief Judge Shelly D. Dick: Telephone Conference held on 4/13/2022. The parties discussed the status of the case. The court will issue an order denying the temporary restraining order. The parties shall submit simultaneous briefs as to the propriety of setting thismatter for a preliminary injunction hearing in light of the pending arbitration by the close on 4/21/2022, not to exceed 20 pages. (SWE)
April 13, 2022 Opinion or Order Filing 11 ORDER granting #10 Motion for Justin Patrick Senior to Appear Pro Hac Vice. ATTENTION: Local counsel shall provide the following link to those attorneys granted leave to proceed pro hac vice in the Middle District of Louisiana who choose to register for e-file access #www.lamd.uscourts.gov/pro-hac-vice-e-filing-registration. Signed by Magistrate Judge Erin Wilder-Doomes on 4/13/2022. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (BLR)
April 13, 2022 Filing 10 Ex Parte MOTION for Justin P. Senior to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number ALAMDC-2416993) by Stephen C. Smith, JR. (Attachments: #1 Affidavit Declaration of Justin P. Senior, #2 Attachment Certificate of Good Standing, #3 Proposed Pleading; Proposed Order)(Joyce, John)
April 13, 2022 Opinion or Order Filing 9 ORDER granting #4 and #5 Motion for Leonard Weintraub and Tara Halsch Curtin to Appear Pro Hac Vice. ATTENTION: Local counsel shall provide the following link to those attorneys granted leave to proceed pro hac vice in the Middle District of Louisiana who choose to register for e-file access #www.lamd.uscourts.gov/pro-hac-vice-e-filing-registration. Signed by Magistrate Judge Erin Wilder-Doomes on 4/13/2022. (BLR)
April 13, 2022 MOTION(S) REFERRED: #4 Ex Parte MOTION for Leonard Weintraub to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number ALAMDC-2416185), #5 Ex Parte MOTION for Tara Halsch Curtin to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number ALAMDC-2416186). This motion is now pending before the USMJ. (ELW)
April 13, 2022 MOTION(S) REFERRED: #10 Ex Parte MOTION for Justin P. Senior to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number ALAMDC-2416993). This motion is now pending before the USMJ. (ELW)
April 12, 2022 Filing 8 MOTION to Strike #2 MOTION for Temporary Restraining Order and Preliminary Injunction and Motion for Expedited Discovery by Stephen C. Smith, JR. (Attachments: #1 Memorandum in Support, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4, #6 Proposed Pleading; Proosed Order)(Joyce, John)
April 12, 2022 Filing 7 MEMORANDUM in Opposition to #2 MOTION for Temporary Restraining Order and Preliminary Injunction and Motion for Expedited Discovery filed by Stephen C. Smith, JR. (Attachments: #1 Exhibit 1 - Declaration of Stephen C. Smith, Jr., #2 Exhibit A to Declaration of Stephen C. Smith, Jr., #3 Exhibit B to Declaration of Stephen C. Smith, Jr., #4 Exhibit C to Declaration of Stephen C. Smith, Jr., #5 Exhibit D to Declaration of Stephen C. Smith, Jr., #6 Exhibit E to Declaration of Stephen C. Smith, Jr., #7 Exhibit F to Declaration of Stephen C. Smith, Jr., #8 Exhibit G to Declaration of Stephen C. Smith, Jr., #9 Exhibit H to Declaration of Stephen C. Smith, Jr., #10 Proposed Pleading; Proposed Order)(Joyce, John)
April 12, 2022 Opinion or Order Filing 6 ORDER:Telephone Conference set for 4/13/2022 at 02:00 PM before Chief Judge Shelly D. Dick. Counsel for Plaintiff is responsible for contacting counsel for Defendant and notifying counsel of this status conference. Dial-in instructions will be sent separately to counsel by e-mail. Signed by Chief Judge Shelly D. Dick on 4/12/2022. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.)(SWE)
April 11, 2022 Filing 5 Ex Parte MOTION for Tara Halsch Curtin to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number ALAMDC-2416186) by J.P. Morgan Securities LLC. (Attachments: #1 Proposed Order, #2 Declaration of Tara Halsch Curtin Including Oath Required by Local Rule 83, #3 Certificate of Good Standing)(Hite, John)
April 11, 2022 Filing 4 Ex Parte MOTION for Leonard Weintraub to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number ALAMDC-2416185) by J.P. Morgan Securities LLC. (Attachments: #1 Proposed Order, #2 Declaration of Leonard Weintraub Including Oath Required by Local Rule 83, #3 Certificate of Good Standing)(Hite, John)
April 11, 2022 Filing 3 Corporate Disclosure Statement by J.P. Morgan Securities LLC identifying Corporate Parent JPMorgan Chase & Co. for J.P. Morgan Securities LLC.. (Hite, John)
April 11, 2022 Filing 2 MOTION for Temporary Restraining Order and Preliminary Injunction and Motion for Expedited Discovery by J.P. Morgan Securities LLC. (Attachments: #1 Proposed Order, #2 Memorandum in Support, #3 Emergency Declaration of Leonard Weintraub in Support of Motion for Temporary Restraining Order, Including Compliance with Local Rule 65 Notice Requirements and Attached Notice Exhibit, #4 Exhibit "A" to Declaration of Weintraub, #5 Exhibit "B" to Declaration of Weintraub, #6 Declaration of Cortney Wagner, #7 Exhibit "A" to Declaration of Cortney Wagner, #8 Exhibit "B" to Declaration of Cortney Wagner, #9 Exhibit "C" to Declaration of Cortney Wagner, #10 Exhibit "D" to Declaration of Cortney Wagner, #11 Plaintiff's Appendix of Cases)(Hite, John)
April 11, 2022 Filing 1 COMPLAINT (Injunctive Relief in Aid of Arbitration) against Stephen C. Smith, JR ( Filing fee $ 402 receipt number ALAMDC-2416054.), filed by J.P. Morgan Securities LLC. (Attachments: #1 Civil Cover Sheet)(Hite, John) (Attachment 1 replaced on 4/13/2022) (ELW). Modified on 4/13/2022 to flatten document (ELW).

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Plaintiff: J.P. Morgan Securities LLC
Represented By: John William Hite, III
Represented By: Glen Mercer
Represented By: James Gary Albertine, III
Represented By: Leonard Weintraub
Represented By: Tara Halsch Curtin
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Defendant: Stephen C. Smith, JR
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Defendant: Stephen C Smith, Jr.
Represented By: John W. Joyce
Represented By: Justin P. Senior
Represented By: Michael V. Colvin
Represented By: Michael S. Taaffe
Represented By: Shaun P. McFall
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