Ebbe v. Concord Investment Services, LLC et al
Petitioner: Kenneth Ebbe
Respondent: Westminster Financial Services, Inc., Westminster Financial Advisory Corporation, Concord Investment Services, LLC, Richard G Cody, Jill M Cody and Jill M. Tramontano
Case Number: 1:2019cv10289
Filed: February 14, 2019
Court: US District Court for the District of Massachusetts
Presiding Judge: Patti B Saris
Nature of Suit: Other Statutes: Arbitration
Cause of Action: 09:0010
Jury Demanded By: None
Docket Report

This docket was last retrieved on July 18, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
April 11, 2019 Filing 32 Chief Judge Patti B. Saris: ELECTRONIC ORDER entered granting #31 Motion for Extension of Time to File Response/Reply re #1 MOTION to Vacate and Confirm in Part. Responses due by 5/3/2019 (Lara, Miguel)
April 11, 2019 Filing 31 MOTION for Extension of Time to May 3, 2019 to File Response/Reply as to #1 MOTION to Vacate by Westminster Financial Advisory Corporation, Westminster Financial Services, Inc.. (Attachments: #1 Text of Proposed Order)(McLaughlin, Rafael)
April 11, 2019 Filing 30 Copy re 27 Notice of Hearing, mailed to Richard G. Cody at 2866 Sydney Street, Jacksonville, FL 32205 and Jill M. Cody at 308 Birch Drive, Neptune, NJ 07753 on 4/11/19. (Lara, Miguel)
April 10, 2019 Filing 29 Chief Judge Patti B. Saris: ELECTRONIC ORDER entered granting #28 Motion for Extension of Time to File Response/Reply re #1 MOTION to Vacate Responses due by 5/3/2019. (Lara, Miguel)
April 10, 2019 Filing 28 Assented to MOTION for Extension of Time to May 3, 2019 to File Response/Reply as to #1 MOTION to Vacate by Concord Investment Services, LLC. (Attachments: #1 Text of Proposed Order Proposed Order)(Haselbarth, Shane)
April 10, 2019 Filing 27 ELECTRONIC NOTICE of Hearing..... HEARING ON PETITIONERS MOTION TO VACATE IN PART AND CONFIRM IN PART FINRA ARBITRATION AWARD, hearing set for 5/20/2019 09:30 AM in Courtroom 19 before Chief Judge Patti B. Saris. (Molloy, Maryellen)
April 10, 2019 Filing 26 ELECTRONIC NOTICE issued requesting courtesy copy for #2 Memorandum in Support and #5 Affidavit in Support of Motion. Counsel who filed this document are requested to submit a courtesy copy of this document (or documents) to the Clerk's Office by 4/17/19. These documents must be clearly marked as a Courtesy Copy and reflect the document number assigned by CM/ECF. (Lara, Miguel)
March 21, 2019 Filing 25 Chief Judge Patti B. Saris: ELECTRONIC ORDER entered granting #23 Motion for Leave to Appear Pro Hac Vice Added Joseph S. Simms. Attorneys admitted Pro Hac Vice must register for electronic filing if the attorney does not already have an ECF account in this district. To register go to the Court website at www.mad.uscourts.gov. Select Case Information, then Electronic Filing (CM/ECF) and go to the CM/ECF Registration Form. (Lara, Miguel)
March 21, 2019 Filing 24 Chief Judge Patti B. Saris: ELECTRONIC ORDER entered granting #22 Motion for Leave to Appear Pro Hac Vice Added Zachary R. Durant. Attorneys admitted Pro Hac Vice must register for electronic filing if the attorney does not already have an ECF account in this district. To register go to the Court website at www.mad.uscourts.gov. Select Case Information, then Electronic Filing (CM/ECF) and go to the CM/ECF Registration Form. (Lara, Miguel)
March 20, 2019 Filing 23 MOTION for Leave to Appear Pro Hac Vice for admission of Joseph S. Simms Filing fee: $ 100, receipt number 0101-7594148 by Westminster Financial Advisory Corporation, Westminster Financial Services, Inc.. (Attachments: #1 Exhibit A - Certification of good standing)(McLaughlin, Rafael)
March 20, 2019 Filing 22 MOTION for Leave to Appear Pro Hac Vice for admission of Zachary R. Durant Filing fee: $ 100, receipt number 0101-7594103 by Westminster Financial Advisory Corporation, Westminster Financial Services, Inc.. (Attachments: #1 Exhibit A - Certificate of Good Standing)(McLaughlin, Rafael)
March 12, 2019 Filing 21 SUMMONS Returned Executed Richard G Cody served on 3/6/2019, answer due 3/27/2019. (Mangones, John)
March 7, 2019 Filing 20 Chief Judge Patti B. Saris: ELECTRONIC ORDER entered granting #18 Motion for Leave to Appear Pro Hac Vice Added Shane Haselbarth. Attorneys admitted Pro Hac Vice must register for electronic filing if the attorney does not already have an ECF account in this district. To register go to the Court website at www.mad.uscourts.gov. Select Case Information, then Electronic Filing (CM/ECF) and go to the CM/ECF Registration Form. (Lara, Miguel)
March 7, 2019 Filing 19 Chief Judge Patti B. Saris: ELECTRONIC ORDER entered granting #17 Motion for Leave to Appear Pro Hac Vice Added Gerard J. Kowalski. Attorneys admitted Pro Hac Vice must register for electronic filing if the attorney does not already have an ECF account in this district. To register go to the Court website at www.mad.uscourts.gov. Select Case Information, then Electronic Filing (CM/ECF) and go to the CM/ECF Registration Form. (Lara, Miguel)
March 7, 2019 Filing 18 MOTION for Leave to Appear Pro Hac Vice for admission of Shane Haselbarth Filing fee: $ 100, receipt number 0101-7572078 by Concord Investment Services, LLC. (Attachments: #1 Affidavit Certification of Shane Haselbarth)(Ghabai, N.)
March 7, 2019 Filing 17 MOTION for Leave to Appear Pro Hac Vice for admission of Gerard J. Kowalski Filing fee: $ 100, receipt number 0101-7572031 by Concord Investment Services, LLC. (Attachments: #1 Affidavit Certification of Gerard Kowalski)(Ghabai, N.)
February 27, 2019 Filing 16 Responses due by 4/19/2019 re #1 MOTION to Vacate in Part and Confirm in Part FIRNA Arbitration Award. (Lara, Miguel)
February 27, 2019 Filing 15 Chief Judge Patti B. Saris: ELECTRONIC ORDER entered granting #14 Motion for Extension of Time to File Responsive Pleading. (Lara, Miguel)
February 26, 2019 Filing 14 MOTION for Extension of Time to April 19, 2019 to File Responsive Pleading by Concord Investment Services, LLC. (Attachments: #1 Text of Proposed Order Proposed Order)(Ghabai, N.)
February 26, 2019 Filing 13 NOTICE of Appearance by N. Nancy Ghabai on behalf of Concord Investment Services, LLC (Ghabai, N.)
February 25, 2019 Filing 12 SUMMONS Returned Executed Jill M Cody served on 2/20/2019, answer due 3/13/2019. (Mangones, John)
February 21, 2019 Filing 11 Chief Judge Patti B. Saris: ELECTRONIC ORDER entered allowing #7 Motion for Extension of Time to File Response/Reply re #1 Petitioner's Motion to Vacate in Part and Confirm in Part FIRNA Arbitration Award. Responses due by 4/19/2019. (Lara, Miguel)
February 20, 2019 Filing 10 SUMMONS Returned Executed Westminster Financial Advisory Corporation served on 2/20/2019, answer due 3/13/2019. (Mangones, John)
February 20, 2019 Filing 9 SUMMONS Returned Executed Westminster Financial Services, Inc. served on 2/20/2019, answer due 3/13/2019. (Mangones, John)
February 20, 2019 Filing 8 SUMMONS Returned Executed Concord Investment Services, LLC served on 2/20/2019, answer due 3/13/2019. (Mangones, John)
February 20, 2019 Filing 7 MOTION for Extension of Time to File Response/Reply to Petitioner's Motion to Vacate In Part and Confimr in Part Finra Arbitration Award by Westminster Financial Advisory Corporation, Westminster Financial Services, Inc.. (Attachments: #1 Text of Proposed Order)(McLaughlin, Rafael)
February 20, 2019 Filing 6 NOTICE of Appearance by Rafael P. McLaughlin on behalf of Westminster Financial Advisory Corporation, Westminster Financial Services, Inc. (McLaughlin, Rafael)
February 14, 2019 Filing 5 AFFIDAVIT in Support re #1 MOTION to Vacate in Part and Confirm in Part FINRA Arbitration Award re: HEARING TRANSCRIPTS filed by Kenneth Ebbe. (Attachments: #1 Appendix Transcript Hearing Day 1, #2 Appendix Transcript Hearing Day 2, #3 Appendix Transcript Hearing Day 3, #4 Appendix Transcript Hearing Day 4)(Mangones, John) Modified on 2/20/2019 to reflect accurate docket entry linkage. (Lara, Miguel).
February 14, 2019 Filing 4 Summons Issued as to Jill M Cody, Richard G Cody, Concord Investment Services, LLC, Westminster Financial Advisory Corporation, Westminster Financial Services, Inc.. Counsel receiving this notice electronically should download this summons, complete one for each defendant and serve it in accordance with Fed.R.Civ.P. 4 and LR 4.1. Summons will be mailed to plaintiff(s) not receiving notice electronically for completion of service. (Pacho, Arnold)
February 14, 2019 Filing 3 ELECTRONIC NOTICE of Case Assignment. Chief Judge Patti B. Saris assigned to case. If the trial Judge issues an Order of Reference of any matter in this case to a Magistrate Judge, the matter will be transmitted to Magistrate Judge Jennifer C. Boal. (Finn, Mary)
February 14, 2019 Filing 2 Memorandum in Support of #1 MOTION to Vacate in Part and Confirm in Part FINRA Arbitration Award by Kenneth Ebbe. (Attachments: #1 Affidavit Declaration of John A. Mangones, #2 Exhibit Ex. 1, #3 Exhibit Ex. 2, #4 Exhibit Ex. 3, #5 Exhibit Ex. 4, #6 Exhibit Ex. 5, #7 Exhibit Ex. 6, #8 Exhibit Ex. 7, #9 Exhibit Ex. 8, #10 Exhibit Ex. 9, #11 Exhibit Ex. 10, #12 Exhibit Ex. 11, #13 Exhibit Ex. 12, #14 Exhibit Ex. 13, #15 Exhibit Ex. 14, #16 Exhibit Ex. 15, #17 Exhibit Ex. 16, #18 Exhibit Ex. 17, #19 Exhibit Ex. 18)(Mangones, John) Modified docket entry on 2/19/2019 to reflect accurate title of pleading. (Lara, Miguel).
February 14, 2019 Filing 1 COMPLAINT against Jill M Cody, Westminster Financial Advisory Corporation, Kenneth Ebbe, Westminster Financial Services, Inc., Concord Investment Services, LLC, Richard G Cody and Petitioner's Motion to Vacate in Part and Confirm in Part FIRNA Arbitration Award Filing fee: $ 400, receipt number 0101-7541099 (Fee Status: Filing Fee paid), filed by Kenneth Ebbe. (Attachments: #1 Civil Cover Sheet Civil Cover Sheet, #2 JS45 Category Form)(Mangones, John) Modified on 2/20/2019 to reflect title of pleading and e-filing event. (Lara, Miguel).

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Respondent: Westminster Financial Services, Inc.
Represented By: Joseph S. Simms
Represented By: Rafael P. McLaughlin
Represented By: Zachary R. Durant
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Respondent: Westminster Financial Advisory Corporation
Represented By: Joseph S. Simms
Represented By: Rafael P. McLaughlin
Represented By: Zachary R. Durant
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Respondent: Concord Investment Services, LLC
Represented By: Shane Haselbarth
Represented By: Gerard J. Kowalski
Represented By: N. Nancy Ghabai
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Respondent: Richard G Cody
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Respondent: Jill M Cody
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Respondent: Jill M. Tramontano
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Petitioner: Kenneth Ebbe
Represented By: John A. Mangones
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