Citizens Bank, N.A. v. Margolis et al
| Citizens Bank, N.A. |
| Howard L Margolis, RBC Wealth Management, a division of RBC Capital Markets, LLC and RBC Capital Markets, LLC |
| 2:2020cv12393 |
| September 2, 2020 |
| US District Court for the Eastern District of Michigan |
| Gershwin A Drain |
| Anthony P Patti |
| Other Statutory Actions |
| Plaintiff |
Docket Report
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This docket was last retrieved on July 9, 2021. A more recent docket listing may be available from PACER.
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Filing 36
RESPONSE to #32 Emergency MOTION to Compel MOTION for Contempt MOTION for Sanctions MOTION for Order to Show Cause MOTION to Expedite Briefing Schedule filed by All Defendants. (Attachments: #1 Index of Exhibits, #2 Exhibit A. 10/16/2020 Email from Paul A. Wilhelm re Notification per Stipulated Preliminary Injunction Order, #3 Exhibit B. 10/16/2020 Court Notice of Electronic Filing re Plaintiff's Motion to Compel, #4 Exhibit C. Defendant Howard Margolis' Supplemental Call Logs, #5 Exhibit D. Defendant Howard Margolis' Supplemental Responses to Plaintiff's First Set of Interrogatories) (Korovesis, Phillip)
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Filing 35
REPLY to Response re #28 MOTION to Compel or in the alternative to dismiss portions of the complaint filed by All Defendants. (Korovesis, Phillip)
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Filing 34
NOTICE OF HEARING BY VIDEO CONFERENCE on #32 Emergency MOTION to Compel MOTION for Contempt MOTION for Sanctions MOTION for Order to Show Cause MOTION to Expedite Briefing Schedule, #28 MOTION to Compel or in the alternative to dismiss portions of the complaint. Motion Hearing set for 12/16/2020 at 11:00 AM before District Judge Gershwin A. Drain |Zoom Webinar Information: https://www.zoomgov.com/j/1606543178?pwd=SU55eWMxN0paUWRHMGwrU1MzemVQQT09 Passcode: 288643 Or iPhone one-tap : US: +16692545252,,1606543178# or +16468287666,,1606543178#| (TMcg)
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Filing 33
MOTION to Seal #32 Emergency MOTION to Compel MOTION for Contempt MOTION for Sanctions MOTION for Order to Show Cause MOTION to Expedite Briefing Schedule , MOTION for Leave to File Exhibit 3 (Only) to Motion [Dkt. #32], Under Seal by Citizens Bank, N.A.. (Wilhelm, Paul)
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Filing 32
Emergency MOTION to Compel , MOTION for Contempt , MOTION for Sanctions , MOTION for Order to Show Cause , MOTION to Expedite Briefing Schedule by Citizens Bank, N.A.. (Attachments: #1 Index of Exhibits, #2 Exhibit 1 - Email Exchange Among Counsel, #3 Exhibit 2 - Margolis Interrogatory Responses, #4 Exhibit 3 - Call Log (to be filed under seal), #5 Exhibit 4 - Supplemental and Amended Responses, #6 Exhibit 5 - Excerpts from the Deposition of H. Margolis, #7 Exhibit 6 - 9/24/2020 Email from Counsel Regarding Motion, #8 Exhibit 7 - Notification Emails (10/6/2020, 10/13/2020, 10/14/2020), #9 Exhibit 8 - 10/13/2020 Demand for Answer, Documents) (Wilhelm, Paul)
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Filing 31
RESPONSE to #28 MOTION to Compel or in the alternative to dismiss portions of the complaint [Response Brief in Opposition to Defendants' Motion to Compel Arbitration, etc.] filed by Citizens Bank, N.A.. (Attachments: #1 Index of Exhibits, #2 Exhibit A - Declaration of David H. Shore, #3 Exhibit B - Declaration of John A. Harshman, #4 Exhibit C - 9/3/2020 Emails from Counsel, #5 Exhibit D - 9/14/2020 Enclosure Letter for Written Discovery Responses, #6 Exhibit E - Notices of Deposition of H. Margolis and P. Strek, #7 Exhibit F - 9/15/2020 Deposition Transcript Cover Pages, #8 Exhibit G - 9/15/2020 Emails re Documents, Depositions, Invoking Stipulated Protective Order, #9 Exhibit H - 9/16/2020 Email re Defendants Consent to Seal Preliminary Injunction Hearing, #10 Exhibit I - 9/24/2020 12:07 p.m. Email from Case Manager re Scheduling Conference, #11 Exhibit J - 9/24/2020 12:09 p.m. Email from Counsel re Motion, #12 Exhibit K - Excerpts from Deposition of H. Margolis, #13 Exhibit L - Excerpts from Deposition of P. Strek, #14 Exhibit Tab 1 - Unpublished Cases) (Wilhelm, Paul)
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Filing 30
NOTICE of Appearance by Jonathan A. Scobie on behalf of All Defendants. (Scobie, Jonathan)
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Filing 29
STIPULATION AND ORDER Protective Order Signed by District Judge Gershwin A. Drain. (TMcg)
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Filing 28
MOTION to Compel or in the alternative to dismiss portions of the complaint by All Defendants. (Attachments: #1 Index of Exhibits, #2 Exhibit A. Declaration of Howard Margolis, #3 Exhibit B. Excerpts from FINRA Broker Check for Citizens Securities, #4 Exhibit C. 2015 Employment Agreement, #5 Exhibit D. 2018 Employment Agreement, #6 Exhibit E. FINRA Broker Check for Howard Margolis, #7 Exhibit F. Excerpts from FINRA Broker Check for RBC Capital Markets, #8 Exhibit G. Excerpt from Form U-4 (Section 15), #9 Exhibit H. FINRA Rule 2140, #10 Exhibit I. FINRA Rule 13200) (Korovesis, Phillip)
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Filing 27
STIPULATED PRELIMINARY INJUNCTION. Signed by District Judge Gershwin A. Drain. (TMcg)
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TEXT-ONLY NOTICE: Hearing on 9/24/2020 is Cancelled re #25 Notice to Appear (TMcg)
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Filing 26
NOTICE TO APPEAR: Settlement Conference set for 2/9/2021 01:30 PM before Magistrate Judge Anthony P. Patti (MWil)
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Filing 25
NOTICE TO APPEAR BY VIDEO CONFERENCE: Miscellaneous Hearing set for 9/24/2020 at 2:00 PM before District Judge Gershwin A. Drain (TMcg)
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Filing 24
STIPULATION AND ORDER Extending Temporary Restraining Order re Miscellaneous Hearing Signed by District Judge Gershwin A. Drain. (TMcg)
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Filing 23
ORDER REFERRING OTHER MATTERS to Magistrate Judge Patti : Settlement Conference. Signed by District Judge Gershwin A. Drain. (TMcg)
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Filing 22
NOTICE TO APPEAR BY VIDEO CONFERENCE: Miscellaneous Hearing set for 9/16/2020 at 3:00 PM before District Judge Gershwin A. Drain (TMcg)
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Filing 21
ORDER Granting #20 Motion to Seal Preliminary Injunction Hearing and Transcript (Unopposed). Signed by District Judge Gershwin A. Drain. (TMcg)
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Filing 20
MOTION to Seal Preliminary Injunction Hearing and Transcript (Unopposed) by Citizens Bank, N.A.. (Wilhelm, Paul)
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Minute Entry for proceedings before District Judge Gershwin A. Drain: Miscellaneous Hearing held on 9/16/2020 Re: #22 Notice to Appear Disposition: Motion continued (Court Reporter: Merilyn Jones) (TMcg)
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TEXT-ONLY NOTICE: Motion Hearing on 9/16/2020 is Cancelled re #17 Notice of Hearing on Motion, (TMcg)
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Filing 19
REPLY to Response re #3 Ex Parte MOTION for Temporary Restraining Order and for Preliminary Injunction filed by Citizens Bank, N.A.. (Attachments: #1 Document Continuation Unpublished Case Law) (Wilhelm, Paul)
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Filing 18
PROTECTIVE ORDER Signed by District Judge Gershwin A. Drain. (TMcg)
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Filing 17
CORRECTED NOTICE OF HEARING BY VIDEO CONFERENCE. Motion Hearing set for 9/16/2020 at 3:00 PM before District Judge Gershwin A. Drain |Zoom Webinar Information: https://www.zoomgov.com/j/1608271857?pwd=SC9KQmd3a1JZTkp6YjYzNmhiL3hpQT09 Passcode: 238330 Or iPhone one-tap : US: +16692545252,,1608271857# or +16468287666,,1608271857#| (TMcg)
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Filing 16
NOTICE OF HEARING BY VIDEO CONFERENCE. Motion Hearing set for 9/16/2020 10:00 AM before District Judge Gershwin A. Drain |Zoom Webinar Information: https://www.zoomgov.com/j/1608271857?pwd=SC9KQmd3a1JZTkp6YjYzNmhiL3hpQT09 Passcode: 238330 Or iPhone one-tap : US: +16692545252,,1608271857# or +16468287666,,1608271857#| (TMcg)
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Filing 15
MEMORANDUM OPINION and ORDER Granting in Part and Denying in Part Plaintiff's #4 Ex Parte MOTION to Expedite (for Immediate and Expedited Discovery) Signed by District Judge Gershwin A. Drain. (TMcg)
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Filing 14
RESPONSE to #3 Ex Parte MOTION for Temporary Restraining Order and for Preliminary Injunction filed by All Defendants. (Attachments: #1 Index of Exhibits, #2 Exhibit A. Declaration of Howard Margolis, #3 Exhibit B. The 2018 Agreement, #4 Exhibit C. FINRA Rule 13804, #5 Exhibit D. Excerpt from the Form U4, #6 Exhibit E. FINRA Rule 2263, #7 Exhibit F. FINRA Rule 0140, #8 Exhibit G. FINRA Rule 2140, #9 Exhibit H. Edward D. Jones & Co., L.P. v. Kerr) (Korovesis, Phillip)
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Filing 13
REPLY to Response re #4 Ex Parte MOTION to Expedite (for Immediate and Expedited Discovery) filed by Citizens Bank, N.A.. (Attachments: #1 Index of Exhibits, #2 Exhibit A Emails Among Counsel, September 4 and 5 2020, #3 Exhibit B Excerpts from Documents Provided September 9 2020 at 12:37 pm Redacted, #4 Exhibit C Additional Documents Provided September 9 2020 at 5:18 pm Redacted, #5 Exhibit D Proposed Protective Order, #6 Exhibit E September 8 and 9 2020 Correspondence, #7 Exhibit F Unreported Cases) (Wilhelm, Paul)
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Filing 12
RESPONSE to #4 Ex Parte MOTION to Expedite (for Immediate and Expedited Discovery) filed by All Defendants. (Attachments: #1 Index of Exhibits, #2 Exhibit A. FINRA Rule 2140, #3 Exhibit B. Declaration of Howard Margolis, #4 Exhibit C. Edward D. Jones & Co., L.P. V. Kerr) (Korovesis, Phillip)
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Filing 11
NOTICE of Appearance by Phillip C. Korovesis on behalf of All Defendants. (Korovesis, Phillip)
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Filing 10
EX PARTE TEMPORARY RESTRAINING ORDER. Signed by District Judge Gershwin A. Drain. (TMcg)
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Filing 9
CERTIFICATE of Service/Summons Returned Executed. RBC Wealth Management, a division of RBC Capital Markets, LLC served on 9/3/2020, answer due 9/24/2020. (Wilhelm, Paul)
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Filing 8
CERTIFICATE of Service/Summons Returned Executed. RBC Capital Markets, LLC served on 9/3/2020, answer due 9/24/2020. (Wilhelm, Paul)
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Filing 7
CERTIFICATE of Service/Summons Returned Executed. Howard L Margolis served on 9/3/2020, answer due 9/24/2020. (Wilhelm, Paul)
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Filing 6
SUMMONS Issued for * All Defendants * (LGra)
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Filing 5
ATTORNEY APPEARANCE: Vincent C. Sallan appearing on behalf of Citizens Bank, N.A. (Sallan, Vincent)
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Filing 4
Ex Parte MOTION to Expedite (for Immediate and Expedited Discovery) by Citizens Bank, N.A.. (Attachments: #1 Index of Exhibits, #2 Exhibit A - Discovery to Margolis, #3 Exhibit B - Discovery to RBC, #4 Exhibit Tab 1 - Proposed Order) (Wilhelm, Paul)
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Filing 3
Ex Parte MOTION for Temporary Restraining Order and for Preliminary Injunction by Citizens Bank, N.A.. (Attachments: #1 Index of Exhibits, #2 Exhibit A - Cases cited, #3 Exhibit Tab 1 - Proposed Order) (Wilhelm, Paul)
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Filing 2
STATEMENT of DISCLOSURE of CORPORATE AFFILIATIONS and FINANCIAL INTEREST by Citizens Bank, N.A. identifying Corporate Parent Citizens Financial Group, Inc. for Citizens Bank, N.A.. (Wilhelm, Paul)
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Filing 1
COMPLAINT (Verified Complaint) filed by Citizens Bank, N.A. against All Defendants with Jury Demand. Plaintiff requests summons issued. Receipt No: AMIEDC-8023983 - Fee: $ 400. County of 1st Plaintiff: Out of State - County Where Action Arose: Oakland - County of 1st Defendant: Oakland. [Previously dismissed case: No] [Possible companion case(s): None] (Wilhelm, Paul)
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A United States Magistrate Judge of this Court is available to conduct all proceedings in this civil action in accordance with 28 U.S.C. 636c and FRCP 73. The Notice, Consent, and Reference of a Civil Action to a Magistrate Judge form is available for download at #http://www.mied.uscourts.gov (LGra)
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