Raymond James & Associates, Inc. et al v. Barlow et al
Raymond James & Associates, Inc. and Morgan Keegan & Company, LLC |
Debra A. Hodge, Ralph H. Barlow, Laura A. McDavid, Thomas E. Dees, Sheila L. Chain, Jackie R. Boteler, Edgar C. Fellows, Sherron G. Sandifer, Lois B. Landry, Hal C. Moss, Jr., Michael L. McDavid, Patricia C. Roberts, Mel L. McCoy, Bryan L. Windham, Lyman E. Johnson, Jr., Linda P. Byrd, Patsy Y. Harveston, Elaine D. Moss, Connie L. Saxton and Robert H. Landry, Jr. |
3:2019cv00394 |
June 5, 2019 |
US District Court for the Southern District of Mississippi |
Linda R Anderson |
Carlton W Reeves |
Other Statutes: Arbitration |
28 U.S.C. § 1332 |
None |
Docket Report
This docket was last retrieved on March 27, 2020. A more recent docket listing may be available from PACER.
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Filing 41 AGREED ORDER granting enlargement of time to respond to #38 MOTION to Affirm Arbitration Award filed by Bryan L. Windham, Patricia C. Roberts, Robert H. Landry, Jr., Jackie R. Boteler, Hal C. Moss, Jr., Connie L. Saxton, Laura A. McDavid, Debra A. Hodge, Michael L. McDavid, Elaine D. Moss, Lyman E. Johnson, Jr., Sherron G. Sandifer, Sheila L. Chain, Ralph H. Barlow, Linda P. Byrd, Patsy Y. Harveston, Edgar C. Fellows, Mel L. McCoy, Lois B. Landry, Thomas E. Dees, and reply to #3 MOTION to Vacate #1 Complaint,, filed by Raymond James & Associates, Inc., Morgan Keegan & Company, LLC by August 5, 2019. Signed by District Judge Carlton W. Reeves on 7/26/19 (TRS) |
DOCKET ANNOTATION as to #40 : Incorrect linkage made. Memorandum should be linked to Motion to Vacate. All related filings to motions (using the "Responses and Replies" category, with the exception of "Response to Order") should be linked back to the original motion. Court staff has made the correction. (KNS) |
Filing 40 MEMORANDUM IN SUPPORT re #39 Response to #3 Motion to Vacate Arbitration Award filed by Ralph H. Barlow, Jackie R. Boteler, Linda P. Byrd, Sheila L. Chain, Thomas E. Dees, Edgar C. Fellows, Patsy Y. Harveston, Debra A. Hodge, Lyman E. Johnson, Jr, Lois B. Landry, Robert H. Landry, Jr, Mel L. McCoy, Laura A. McDavid, Michael L. McDavid, Elaine D. Moss, Hal C. Moss, Jr, Patricia C. Roberts, Sherron G. Sandifer, Connie L. Saxton, Bryan L. Windham (Greenlee, Robert) Modified on 7/23/2019 (KNS). |
Filing 39 RESPONSE to Motion re #3 MOTION to Vacate #1 Complaint,, filed by Ralph H. Barlow, Jackie R. Boteler, Linda P. Byrd, Sheila L. Chain, Thomas E. Dees, Edgar C. Fellows, Patsy Y. Harveston, Debra A. Hodge, Lyman E. Johnson, Jr, Lois B. Landry, Robert H. Landry, Jr, Mel L. McCoy, Laura A. McDavid, Michael L. McDavid, Elaine D. Moss, Hal C. Moss, Jr, Patricia C. Roberts, Sherron G. Sandifer, Connie L. Saxton, Bryan L. Windham (Attachments: #1 Exhibit 1 - Executed Award, #2 Exhibit 2 - Closing Arguments Transcripts, #3 Exhibit 3 - Claimants' Closing Powerpoint, #4 Exhibit 4 - Savell Termination Letter, #5 Exhibit 5 - MK Policies, #6 Exhibit 6 - CanWest Trading Data, #7 Exhibit 7 - CanWest Emails, #8 Exhibit 8 - CanWest News Release, #9 Exhibit 9 - Ridgeway Emails, #10 Exhibit 10 - Savell Note to Phillips, #11 Exhibit 11 - RGW - Trading Data, #12 Exhibit 12 - RGW - New Releases - 2007, #13 Exhibit 13 - RGW - New Releases - 2006, #14 Exhibit 14 - RGW - Consent Order - Certified, #15 Exhibit 15 - RGW - Non-Solicitation Letters - Redacted, #16 Exhibit 16 - RGW - Consent Order Email, #17 Exhibit 17 - FINRA Discovery Guide, #18 Exhibit 18 - Weiss Letter, #19 Exhibit 19 - Arbitration Agreement, #20 Exhibit 20 - Respondents' Submission Agreements, #21 Exhibit 21 - Amended Answer and Counterclaim, #22 Exhibit 22 - FINRA Code for Customer Disputes, #23 Exhibit 23 - Motion to Dismiss Transcript, #24 Exhibit 24 - Baker v. James Appellate Docket, #25 Exhibit 25 - Baker v. James Trial Court Docket, #26 Exhibit 26 - Baker v. James Decision with Cover Letter, #27 Exhibit 27 - Phillips Testimony - Part 1, #28 Exhibit 28 - John Carson Letter, #29 Exhibit 29 - Trade Confirmation - Redacted, #30 Exhibit 30 - RGW - Account Objective Changes, #31 Exhibit 31 - Phillips Testimony - Part 2, #32 Exhibit 32 - John West Testimony, #33 Exhibit 33 - Hearing Transcript - Day 10, #34 Exhibit 34 - McDavid Testimony, #35 Exhibit 35 - McDavid - Ridgeway Petroleum Information)(Greenlee, Robert) |
Filing 38 MOTION to Affirm Arbitration Award by Ralph H. Barlow, Jackie R. Boteler, Linda P. Byrd, Sheila L. Chain, Thomas E. Dees, Edgar C. Fellows, Patsy Y. Harveston, Debra A. Hodge, Lyman E. Johnson, Jr, Lois B. Landry, Robert H. Landry, Jr, Mel L. McCoy, Laura A. McDavid, Michael L. McDavid, Elaine D. Moss, Hal C. Moss, Jr, Patricia C. Roberts, Sherron G. Sandifer, Connie L. Saxton, Bryan L. Windham (Attachments: #1 Exhibit 1 - Respondent's Submission Agreements, #2 Exhibit 2 - Executed Award)(Lee, Judson) |
Filing 37 Defenses and ANSWER to #1 Complaint,, by Ralph H. Barlow, Jackie R. Boteler, Linda P. Byrd, Sheila L. Chain, Thomas E. Dees, Edgar C. Fellows, Patsy Y. Harveston, Debra A. Hodge, Lyman E. Johnson, Jr, Lois B. Landry, Robert H. Landry, Jr, Mel L. McCoy, Laura A. McDavid, Michael L. McDavid, Elaine D. Moss, Hal C. Moss, Jr, Patricia C. Roberts, Sherron G. Sandifer, Connie L. Saxton, Bryan L. Windham.(Lee, Judson) |
TEXT-ONLY ORDER granting #36 Motion to Seal or Restrict. The Clerk of Court shall restrict from public access Exhibits 3, 4, and 15 through 88. The plaintiffs need not refile the exhibits. Signed by District Judge Carlton W. Reeves on 6/25/2019. NO FURTHER WRITTEN ORDER SHALL ISSUE ON THIS MOTION. (AC) |
Filing 36 MOTION to RESTRICT from public by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Rushing, Stevie) |
TEXT ONLY ORDER granting #35 Motion to Appear Pro Hac Vice. Benjamin David Schuman is admitted pro hac vice in this case on behalf of Plaintiff Raymond James & Associates, Inc. and Morgan Keegan & Company, LLC and in association with local counsel upon payment of the pro hac admission fee and upon registration for electronic filing. NO FURTHER WRITTEN ORDER WILL ISSUE FROM THE COURT. Signed by Magistrate Judge Linda R. Anderson on 6/24/19 (Lewis, Nijah) |
Filing 35 MOTION for Benjamin David Schuman to Appear Pro Hac Vice (Paid $100 PHV fee; receipt number 0538-4019087) by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Attachments: #1 Attachment Certificate of Good Standing)(Blackwood, Jeffrey) |
Filing 34 NOTICE of Appearance by Stevie F. Rushing on behalf of Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Rushing, Stevie) |
Set/Reset Hearings: Telephone Conference set for 6/18/2019 10:00 AM before Magistrate Judge Linda R. Anderson. (Lewis, Nijah) |
TEXT ONLY ORDER granting and denying in part ore tenus motion. Defendant's response is due on or before July 22, 2019. NO FURTHER WRITTEN ORDER SHALL ISSUE. Signed by Magistrate Judge Linda R. Anderson on 6/18/19 (Lewis, Nijah) |
Minute Entry for proceedings held before Magistrate Judge Linda R. Anderson: Telephone Conference held on 6/18/2019. Participants: Jeffrey Blackwood, Stevie Rushing, Judson Lee and Robert Greenlee. The Court heard argument and granted in part and denied in part the Defendant's request for extension of the response deadline. Defendant's response is due July 22, 2019. (Lewis, Nijah) |
TEXT ONLY ORDER granting #32 Motion to Appear Pro Hac Vice; granting #33 Motion to Appear Pro Hac Vice. Stefanie M. Wayco and Terry R. Weiss are admitted pro hac vice in this case on behalf of Defendants, Morgan Keegan & Company, LLC, and Raymond James & Associates, Inc. and in association with local counsel upon payment of the pro hac admission fee and upon registration for electronic filing. NO FURTHER WRITTEN ORDER WILL ISSUE FROM THE COURT. Signed by Magistrate Judge Linda R. Anderson on 6/14/19 (Lewis, Nijah) |
Filing 33 MOTION for Terry R. Weiss to Appear Pro Hac Vice (Paid $100 PHV fee; receipt number 0538-4011562) by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Attachments: #1 Attachment Certificate of Good Standing)(Blackwood, Jeffrey) |
Filing 32 MOTION for Stefanie M. Wayco to Appear Pro Hac Vice (Paid $100 PHV fee; receipt number 0538-4011541) by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Attachments: #1 Attachment Certificate of Good Standing)(Blackwood, Jeffrey) |
Filing 31 WAIVER OF SERVICE Returned Executed by Bryan L. Windham. Bryan L. Windham waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 30 WAIVER OF SERVICE Returned Executed by Connie L. Saxton. Connie L. Saxton waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 29 WAIVER OF SERVICE Returned Executed by Sherron G. Sandifer. Sherron G. Sandifer waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 28 WAIVER OF SERVICE Returned Executed by Patricia C. Roberts. Patricia C. Roberts waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 27 WAIVER OF SERVICE Returned Executed by Hal C. Moss, Jr. Hal C. Moss, Jr waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 26 WAIVER OF SERVICE Returned Executed by Elaine D. Moss. Elaine D. Moss waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 25 WAIVER OF SERVICE Returned Executed by Laura A. McDavid. Laura A. McDavid waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 24 WAIVER OF SERVICE Returned Executed by Michael L. McDavid. Michael L. McDavid waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 23 WAIVER OF SERVICE Returned Executed by Mel L. McCoy. Mel L. McCoy waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 22 WAIVER OF SERVICE Returned Executed by Lois B. Landry. Lois B. Landry waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 21 WAIVER OF SERVICE Returned Executed by Robert H. Landry, Jr. Robert H. Landry, Jr waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 20 WAIVER OF SERVICE Returned Executed by Lyman E. Johnson, Jr. Lyman E. Johnson, Jr waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 19 WAIVER OF SERVICE Returned Executed by Debra A. Hodge. Debra A. Hodge waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 18 WAIVER OF SERVICE Returned Executed by Patsy Y. Harveston. Patsy Y. Harveston waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 17 WAIVER OF SERVICE Returned Executed by Edgar C. Fellows. Edgar C. Fellows waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 16 WAIVER OF SERVICE Returned Executed by Thomas E. Dees. Thomas E. Dees waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 15 WAIVER OF SERVICE Returned Executed by Sheila L. Chain. Sheila L. Chain waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 14 WAIVER OF SERVICE Returned Executed by Linda P. Byrd. Linda P. Byrd waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 13 WAIVER OF SERVICE Returned Executed by Jackie R. Boteler. Jackie R. Boteler waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 12 WAIVER OF SERVICE Returned Executed by Ralph H. Barlow. Ralph H. Barlow waiver sent on 6/7/2019, answer due 8/6/2019. (Lee, Judson) |
Filing 11 NOTICE of Appearance by Robert V. Greenlee on behalf of All Defendants (Greenlee, Robert) |
Filing 10 NOTICE of Appearance by Judson Morgan Lee on behalf of All Defendants (Lee, Judson) |
Filing 9 MEMORANDUM IN SUPPORT re #3 MOTION to Vacate #1 Complaint,, Plaintiff's Motion to Vacate Arbitration Award filed by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Blackwood, Jeffrey) |
Filing 8 ATTACHMENT re #3 MOTION to Vacate #1 Complaint,, Exhibits 78-88 by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Attachments: #1 Exhibit 79 - Mel McCoy June 2007 MK AS, #2 Exhibit 80 - M. McCoy Dec 2008 MK AS, #3 Exhibit 81 - E. Fellows Aug 2006 MK AS, #4 Exhibit 82 - E. Fellows Mar 2007 MK AS, #5 Exhibit 83 - E. Fellows Dec 2008 MK AS, #6 Exhibit 84 - D. Hodge Mar 2007 MK AS, #7 Exhibit 85 - D. Hodge Dec 2008 MK AS, #8 Exhibit 86 - P. Harveston Feb 2006 MK AS, #9 Exhibit 87 - P. Harveston Mar 2007 MK AS, #10 Exhibit 88 - Patsy Harveston Dec 2008 MK AS)(Blackwood, Jeffrey) |
Filing 7 ATTACHMENT re #3 MOTION to Vacate #1 Complaint,, Exhibits 62-77 by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Attachments: #1 Exhibit 63 - J. Boteler FEb 2007 MK AS, #2 Exhibit 64 - J. Boteler Mar 2008 MK AS, #3 Exhibit 65 - J. Boteler May 2008 MK AS, #4 Exhibit 66 - J. Boteler Sept 2008 MK AS, #5 Exhibit 67 - J. Boteler Oct 2008 K AS, #6 Exhibit 68 - J. Boteler Dec 2008 MK AS, #7 Exhibit 69 - C. Saxton Feb 2007 MK AS, #8 Exhibit 70 - C. Saxton Mar 2008 MK AS, #9 Exhibit 71 - C. Saxton July 2008 MK AS, #10 Exhibit 72 - C Saxton Sept 2008 MK AS, #11 Exhibit 73 C. Saxton Oct 2008 MK AS, #12 Exhibit 74 - C. Saxton Dec 2008 MK AS, #13 Exhibit 75 - S. Sandifer July 2006 MK AS, #14 Exhibit 76 - S. Sandifer Feb 2007 MK AS, #15 Exhibit 77 - S. Sandifer Dec 2008 MK AS)(Blackwood, Jeffrey) |
Filing 6 ATTACHMENT re #3 MOTION to Vacate #1 Complaint,, Exhibits 44-61 by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Attachments: #1 Exhibit 45 - Landry June 2007 MK AS, #2 Exhibit 46 - Landry June 2007 MK AS, #3 Exhibit 47 - Landry June 2007 MK AS, #4 Exhibit 48 - Landry Dec 2008 MK AS, #5 Exhibit 49 - Landry Dec 2008 MK AS, #6 Exhibit 50 - Landry Dec 2008 MK AS, #7 Exhibit 51 - P. Roberts June 2006 MK AS, #8 Exhibit 52 - P. Roberts Feb 2007 MK AS, #9 Exhibit 53 - P Roberts Oct 2008 MK AS, #10 Exhibit 54 - P. Roberts Dec 2008 MK AS, #11 Exhibit 55 - R. Barlow Feb 2007 MK AS, #12 Exhibit 56 - R. Barlow Sept 2008 MK AS, #13 Exhibit 57 - R Barlow Dec 2008 MK AS, #14 Exhibit 58 - R. Barlow July 2009 MK AS, #15 Exhibit 59 - R. Barlow Feb 2010 MK AS, #16 Exhibit 60 - R. Barlow Dec 2011 MK AS, #17 Exhibit 61 - R. Barlow Dec 2012 RJ AS)(Blackwood, Jeffrey) |
Filing 5 ATTACHMENT re #3 MOTION to Vacate #1 Complaint,, Exhibits 28-43 by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Attachments: #1 Exhibit 28 - L. Johnson Sept 2006 MK AS, #2 Exhibit 29 - L. Johnson July 2007 MK AS, #3 Exhibit 30 - L. Johnson Dec 2008 MK AS, #4 Exhibit 31 - L. Johnson Dec 2011 MK AS, #5 Exhibit 32 - L. Johnson Dec 2012 RJ AS, #6 Exhibit 33 - T. Dees June 2006 MK AS, #7 Exhibit 34 - T. Dees Mar 2007 MK AS, #8 Exhibit 35 - T. Dees Sept 2007 MK AS, #9 Exhibit 36 - T. Dees Dec 2008 MKAS, #10 Exhibit 37 - B. Windham Feb 2007 MK AS, #11 Exhibit 38 - B. Windham Sept 2008 MK AS, #12 Exhibit 39 - B. WIndham Dec 2008 MK AS, #13 Exhibit 40 - B. Windham Dec 2012 RJ AS, #14 Exhibit 41 - L. Byrd August 2006 MK AS, #15 Exhibit 42 L. Byrd Feb 2007 MK AS, #16 Exhibit 43 - L. Byrd Nov 2008 MK AS)(Blackwood, Jeffrey) |
Filing 4 ATTACHMENT re #3 MOTION to Vacate #1 Complaint,, Exhibits 11-26 by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Attachments: #1 Exhibit 12 - FINRA Ofc of disp. Res. Basic Arb Training Oct 2018, #2 Exhibit 13 - Excepts fro Arb. Hearing Transcripts, #3 Exhibit 14 - Demonstrative Timelines presented to panel, #4 Exhibit 15 - S. Chain Feb 2007 MK AS, #5 Exhibit 16 - S. Chain May 2007 MK AS, #6 Exhibit 17 - S. Chain Dec 2008 MK AS, #7 Exhibit 18 - Non-Solicitation Letter - S. Chain, #8 Exhibit 19 - M. McDavid April 2006 MK AS, #9 Exhibit 20 M. McDavid June 2006 MK AS, #10 Exhibit 21 - M. McDavid Mar 2007 MK AS, #11 Exhibit 22 - M. McDavid Nov 2007 MK AS, #12 Exhibit 23 - M. McDavid Dec 2008 MK AS, #13 Exhibit 24 - Hal & Elaine Moss Oct 2007 MK AS, #14 Exhibit 25 - Hal & Elaine Moss Nov 2007 MK AS, #15 Exhibit 26 - Hal & Elaine Moss Dec 2008 MK AS)(Blackwood, Jeffrey) |
Filing 3 MOTION to Vacate #1 Complaint,, by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc. (Attachments: #1 Exhibit 1 - Baker Memo Opinion, #2 Exhibit 2 - Arb Award - Barlow, #3 Exhibit 3 - MK New Acct Form Linda Byrd, #4 Exhibit 4 - Exs. of MK trade confirmations for R. Barlow, #5 Exhibit 5 - Def. Amended Statement of Claim in underlying arb, #6 Exhibit 6 - MK New Client Agmt & Discl. Statement, #7 Exhibit 7 - FINRA Arb Submission Agmt by RJ, #8 Exhibit 8 - FINRA Arb. Discl. Rpt. for T. Haynes, #9 Exhibit 9 - FINRA Arb Discl. Rpt. M. Myers, #10 Exhibit 10 - FINRA - Arb Disclosure Rpt - J. Warren)(Blackwood, Jeffrey) |
Filing 2 Summons Issued as to Ralph H. Barlow, Jackie R. Boteler, Linda P. Byrd, Sheila L. Chain, Thomas E. Dees, Edgar C. Fellows, Patsy Y. Harveston, Debra A. Hodge, Lyman E. Johnson, Jr, Lois B. Landry, Robert H. Landry, Jr, Mel L. McCoy, Laura A. McDavid, Michael L. McDavid, Elaine D. Moss, Hal C. Moss, Jr, Patricia C. Roberts, Sherron G. Sandifer, Connie L. Saxton, Bryan L. Windham. (KNS) |
Filing 1 COMPLAINT BY MOTION TO VACATE ARBITRATION AWARD against Ralph H. Barlow, Jackie R. Boteler, Linda P. Byrd, Sheila L. Chain, Thomas E. Dees, Edgar C. Fellows, Patsy Y. Harveston, Debra A. Hodge, Lyman E. Johnson, Jr, Lois B. Landry, Robert H. Landry, Jr, Mel L. McCoy, Laura A. McDavid, Michael L. McDavid, Elaine D. Moss, Hal C. Moss, Jr, Patricia C. Roberts, Sherron G. Sandifer, Connie L. Saxton, Bryan L. Windham ( Filing fee $ 400 receipt number 0538-4005367), filed by Morgan Keegan & Company, LLC, Raymond James & Associates, Inc.. (Attachments: #1 Civil Cover Sheet, #2 Exhibit A - Full List of Defendants)(KNS) |
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