GOODMAN v. UBS FINANCIAL SERVICES INC.
| RICHARD GOODMAN, Individually And As Trustee of the Richard M. Goodman Revocable Living Trust and RICHARD GOODMAN |
| UBS FINANCIAL SERVICES INC. |
| 2:2021cv18123 |
| October 5, 2021 |
| US District Court for the District of New Jersey |
| Michael A Hammer |
| Kevin McNulty |
| Contract: Other |
| 28 U.S.C. § 1331 Fed. Question: Breach of Contract |
| Plaintiff |
Docket Report
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This docket was last retrieved on July 12, 2023. A more recent docket listing may be available from PACER.
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Filing 60
ORDER granting #53 Motion for Preliminary Approval of Class Action Settlement, Certification of the Settlement Class, and the Approval of Notice of Settlement. Signed by Magistrate Judge Michael A. Hammer on 7/12/2023. The Court will hold 12/7/2023 at 11:00 AM in Courtroom MLK 2C at the United States District Court for the District of New Jersey, Martin Luther King Building & U.S. Courthouse, 50 Walnut Street, Newark, NJ 07101. (dam)
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Filing 59
TEXT ORDER: Please disregard Text Order 58 as it was entered in error. The Final Approval Hearing will not be held on September 19, 2023. So Ordered by Magistrate Judge Michael A. Hammer on 7/12/23. (tad)
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Filing 58
TEXT ORDER: Final Approval Hearing on the Motion for Settlement #53 on 9/19/2023 at 3:00 p.m. via Zoom before Magistrate Judge Michael A. Hammer. So Ordered by Magistrate Judge Michael A. Hammer on 6/27/2023. (jqb, )
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Filing 57
CONSENT to Magistrate Judge Disposition on Motion filed by RICHARD GOODMAN, UBS FINANCIAL SERVICES INC. re #53 Unopposed MOTION for Settlement for Preliminary Approval off Class Action Settlement; Certification of the Settlement Class; and Approval of Notice of Settlement. Motion referred to Michael A. Hammer. Signed by Judge Kevin McNulty on 6/14/2023. (dam)
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Set Deadlines as to #53 Unopposed MOTION for Settlement for Preliminary Approval off Class Action Settlement; Certification of the Settlement Class; and Approval of Notice of Settlement. Motion set for 7/3/2023 before Magistrate Judge Michael A. Hammer. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk's Office and does not supersede any previous or subsequent orders from the Court. (dam)
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Filing 56
NOTICE by All Plaintiffs re #53 MOTION for Settlement [Plaintiff's Unopposed Motion For Preliminary Approval Of Class Action Settlement; Certification Of The Settlement Class; and Approval Of Notice Of Settlement], #55 Declaration, #54 Memorandum in Support of Motion, Notice, Consent, and Reference of a Dispositive Motion to a Magistrate Judge (ALBERT, LEE)
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Filing 55
DECLARATION of Garth Spencer re #53 MOTION for Settlement [Plaintiff's Unopposed Motion For Preliminary Approval Of Class Action Settlement; Certification Of The Settlement Class; and Approval Of Notice Of Settlement] by RICHARD GOODMAN. (Attachments: #1 Exhibit 1 - Stipulation and Agreement of Settlement, #2 Exhibit 2 - GPM Firm Resume, #3 Exhibit 3 - Declaration of Zachary Nye, PH.D.)(ALBERT, LEE)
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Filing 54
MEMORANDUM in Support filed by RICHARD GOODMAN re #53 MOTION for Settlement [Plaintiff's Unopposed Motion For Preliminary Approval Of Class Action Settlement; Certification Of The Settlement Class; and Approval Of Notice Of Settlement] (ALBERT, LEE)
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Filing 53
MOTION for Settlement [Plaintiff's Unopposed Motion For Preliminary Approval Of Class Action Settlement; Certification Of The Settlement Class; and Approval Of Notice Of Settlement] by RICHARD GOODMAN. (Attachments: #1 Text of Proposed Order)(ALBERT, LEE)
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Filing 52
THIRD STIPULATION and CONSENT ORDER to extend the schedule for the Preliminary Approval Motion. Plaintiff shall file his motion for preliminary approval of the class action settlement by 6/9/2023, or if Plaintiff cannot meet that deadline, the Parties shall jointly provide the Court with an update at that time. Signed by Magistrate Judge Michael A. Hammer on 5/18/2023. (dam)
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Filing 51
STIPULATION [Third Stipulation and Consent Order to Extend Schedule for Preliminary Approval Motion] by RICHARD GOODMAN. (ALBERT, LEE)
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Filing 50
TEXT ORDER: The Court will grant the parties' proposed stipulation and order to extend the deadline to file the motion for preliminary approval. Further, counsel will kindly meet and confer to discuss and consider consenting to the jurisdiction of the Undersigned to preside over the motions for preliminary approval and final approval of the proposed settlement, pursuant to 28 U.S.C. section 636. If the parties consent, they will kindly complete and submit the Consent to Magistrate Jurisdiction form, which is available on the District Court's website.. So Ordered by Magistrate Judge Michael A. Hammer on 4/28/2023. (Hammer, Michael)
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Filing 49
STIPULATION (Second) and Consent Order to Extend Schedule for Preliminary Approval Motion by RICHARD GOODMAN. (ALBERT, LEE)
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Filing 48
TEXT ORDER: The telephone status conference set for March 20, 2023 is adjourned in light of this Court's Orders, D.E.s 45 and 47. So Ordered by Magistrate Judge Michael A. Hammer on 3/15/23. (tad)
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Filing 47
STIPULATION and CONSENT ORDER directing Plaintiff to file his motion for preliminary approval of the class action settlement by 4/28/2023, or if Plaintiff cannot meet that deadline, the parties shall jointly provide the Court with an update at that time. Signed by Magistrate Judge Michael A. Hammer on 2/22/2023. (dam)
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Filing 46
STIPULATION and Consent Order to Extend Schedule for Preliminary Approval Motion by RICHARD GOODMAN. (ALBERT, LEE)
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Filing 45
TEXT ORDER: The parties' request to adjourn the current scheduling order deadlines to allow them to finalize settlement is granted. On or before March 31, 2023, the Plaintiff will file the motion for preliminary approval of the class action settlement. Further, counsel will kindly meet and confer to discuss and consider consenting to the jurisdiction of the Undersigned to preside over the motions for preliminary approval and final approval of the proposed settlement, pursuant to 28 U.S.C. section 636. If the parties consent, they will kindly complete and submit the Consent to Magistrate Jurisdiction form, which is available on the District Court's website, on or before March 31, 2023. So Ordered by Magistrate Judge Michael A. Hammer on 12/30/2022. (Hammer, Michael)
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Filing 44
STATUS REPORT REGARDING SETTLEMENT by RICHARD GOODMAN. (ALBERT, LEE)
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Filing 43
ORDER granting Parties' Request for an extension of the case schedule by approximately 35 days. Fact Discovery due by 6/20/2023. The Court shall conduct a Telephone Status Conference with the parties on 3/20/2023 at 2:30 PM before Magistrate Judge Michael A. Hammer. Signed by Magistrate Judge Michael A. Hammer on 12/1/2022. (dam)
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Filing 42
STATUS REPORT by RICHARD GOODMAN. (ALBERT, LEE)
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Filing 41
TEXT ORDER: The telephone conference referenced in Text Order D.E. 40 should have read February 13, 2023 not February 2022. So Ordered by Magistrate Judge Michael A. Hammer on 10/19/22. (tad)
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Filing 40
TEXT ORDER: In light of the Amended Scheduling Order entered by this Court on August 30, 2022, resetting the October 24, 2022 telephone conference for February 13, 2022 at 2:30 p.m., D.E. 39, the October 24, 2022 call is cancelled. To join the call on February 13, 2022, counsel shall dial 1-888-684-8852 and enter access code 1456817#. So Ordered by Magistrate Judge Michael A. Hammer on 10/18/22. (tad)
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Filing 39
STIPULATION AND CONSENT ORDER regarding Mediation and Scheduling. The parties shall file a joint report by 11/30/2022 regarding the status of their Mediation now scheduled for 11/17/2022. Telephone Conference set for 2/13/2023 at 2:30 PM before Magistrate Judge Michael A. Hammer. Fact Discovery due by 5/16/2023. Signed by Magistrate Judge Michael A. Hammer on 8/30/2022. (dam)
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Filing 38
STIPULATION AND CONSENT ORDER REGARDING MEDIATION AND SCHEDULING by RICHARD GOODMAN. (ALBERT, LEE)
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Filing 37
ANSWER to Complaint by UBS FINANCIAL SERVICES INC..(SCHOENFELD, ALAN)
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Filing 36
STIPULATION AND CONSENT ORDER Extending Defendant's Time to Answer the Complaint until 7/28/2022. Signed by Magistrate Judge Michael A. Hammer on 7/13/2022. (ams, )
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Filing 35
STIPULATION and Consent Order Regarding Time to Answer the Complaint by UBS FINANCIAL SERVICES INC.. (SCHOENFELD, ALAN)
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Minute Entry for proceedings held before Magistrate Judge Michael A. Hammer: Status Conference held on 7/7/2022. (jqb, )
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Filing 34
AMENDED SCHEDULING ORDER setting a Telephone Conference for 10/24/2022 at 2:30 PM before Magistrate Judge Michael A. Hammer. Fact Discovery due by 1/31/2023. Signed by Magistrate Judge Michael A. Hammer on 7/7/2022. (dam)
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Filing 33
TEXT ORDER: Telephone Status Conference set for 7/7/2022 at 12:30 p.m. The parties will dial 1-888-684-8852 and access code 1456817# to join the conference. So Ordered by Magistrate Judge Michael A. Hammer on 7/5/2022. (jqb, )
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Filing 32
Letter from Lee Albert and Alan Schoenfeld. (ALBERT, LEE)
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Filing 31
ORDER granting in part and denying in part #13 Defendant's Motion to Dismiss. Specifically, the Motion is Granted with regards to Counts 3, 4, 6, and 7 and is otherwise denied. Signed by Judge Kevin McNulty on 6/30/2022. (dam)
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Filing 30
OPINION. Signed by Judge Kevin McNulty on 6/30/2022. (dam)
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Filing 29
STIPULATION AND ORDER re the Production of Discovery. etc. Signed by Magistrate Judge Michael A. Hammer on 4/26/2022. (ams, )
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Filing 28
Discovery Confidentiality Order. Signed by Magistrate Judge Michael A. Hammer on 4/26/2022. (ams, )
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Filing 27
Letter from Alan E. Schoenfeld, in Response to Goodmans Letter Motion re #26 Letter. (SCHOENFELD, ALAN)
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Filing 26
Letter from Lee Albert. (Attachments: #1 Exhibit A - Confidentiality Stipulation, #2 Exhibit B - ESI Protocol)(ALBERT, LEE)
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Filing 25
SCHEDULING ORDER. etc. Signed by Magistrate Judge Michael A. Hammer on 3/7/2022. (ams, )
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Filing 24
Joint Discovery Plan by RICHARD GOODMAN.(ALBERT, LEE)
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Minute Entry for proceedings held before Magistrate Judge Michael A. Hammer: Scheduling Conference held on 2/22/2022. (ECR) (jqb, )
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Filing 23
TEXT ORDER: For the reasons discussed during the February 22, 2022 Rule 16 conference, the Court will adopt Defendant's proposed modified stay of discovery. The parties will meet and confer on an appropriate scheduling order in light of the Court's ruling, and jointly submit same by March 4, 2022. So Ordered by Magistrate Judge Michael A. Hammer on 2/22/2022. (Hammer, Michael)
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Filing 22
Joint Discovery Plan by RICHARD GOODMAN.(ALBERT, LEE)
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Pro Hac Vice fee received as to William Goodman $150, receipt number TRE124803 (jal, )
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Filing 21
REPLY to Response to Motion filed by UBS FINANCIAL SERVICES INC. re #13 MOTION to Dismiss Pursuant to Federal Rule of Civil Procedure 12(b)(6), (SCHOENFELD, ALAN)
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Filing 20
STIPULATION AND CONSENT ORDER re Page Limits for Reply Brief. Signed by Magistrate Judge Michael A. Hammer on 2/8/2022. (ams, )
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Filing 19
STIPULATION and Consent Order Setting Page Limits for Reply Brief, by UBS FINANCIAL SERVICES INC.. (SCHOENFELD, ALAN)
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Filing 18
ORDER granting #17 Motion for Leave to Appear Pro Hac Vice as to William H. Goodman. etc. Signed by Magistrate Judge Michael A. Hammer on 2/7/2022. (ams, )
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Filing 17
Consent MOTION for Leave to Appear Pro Hac Vice William H. Goodman by RICHARD GOODMAN. (Attachments: #1 Certification, #2 Text of Proposed Order)(ALBERT, LEE)
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Set Deadlines as to #17 Consent MOTION for Leave to Appear Pro Hac Vice William H. Goodman. Motion set for 3/7/2022 before Judge Kevin McNulty. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (ams, )
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Filing 16
BRIEF in Opposition filed by RICHARD GOODMAN re #13 MOTION to Dismiss Pursuant to Federal Rule of Civil Procedure 12(b)(6), (ALBERT, LEE)
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Filing 15
TEXT ORDER: The Telephone Scheduling Conference on 2/22/2022 will be held at 4:00 p.m. The parties will dial 1-888-684-8852 and access code 1456817# to join the conference. Please mark your calendar accordingly. So Ordered by Magistrate Judge Michael A. Hammer on 1/19/2022. (TIME CHANGE ONLY)(jqb, )
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Filing 14
TEXT ORDER: Telephone Scheduling Conference set for 2/22/2022 at 12:00 p.m. The parties will dial 1-888-684-8852 and access code 1456817# to join the conference. The parties shall electronically file a joint discovery plan by 2/17/2022. So Ordered by Magistrate Judge Michael A. Hammer on 1/19/2022. (jqb, )
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Set Deadlines as to #13 MOTION to Dismiss Pursuant to Federal Rule of Civil Procedure 12(b)(6),. Motion set for 2/22/2022 before Judge Kevin McNulty. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (ams, )
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Filing 13
MOTION to Dismiss Pursuant to Federal Rule of Civil Procedure 12(b)(6), by UBS FINANCIAL SERVICES INC.. (Attachments: #1 Brief in Support Thereto, #2 Exhibit A, #3 Exhibit B, #4 Text of Proposed Order)(SCHOENFELD, ALAN)
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Filing 12
NOTICE of Appearance by RYAN M. CHABOT on behalf of UBS FINANCIAL SERVICES INC. (CHABOT, RYAN)
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CLERK'S QUALITY CONTROL MESSAGE - The #12 Notice of Appearance filed by UBS FINANCIAL SERVICES INC. on 12/21/2021 included the incorrect case number. Please note that the case number for this matter is 2:21-cv-18123-KM-MAH. No further action is required. (ams, )
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Pro Hac Vice counsel, GARTH SPENCER, has been added to receive Notices of Electronic Filing. Pursuant to L.Civ.R. 101.1, only local counsel are entitled to sign and file papers, enter appearances and receive payments on judgments, decrees or orders. (ams, )
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Filing 11
Notice of Request by Pro Hac Vice Garth Spencer to receive Notices of Electronic Filings. (ALBERT, LEE)
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Pro Hac Vice Received as to Garth S. Spencer: $ 150, receipt number TRE123324 (jmh)
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Filing 10
ORDER granting #9 Motion for Leave to Appear Pro Hac Vice as to Garth Spencer. etc. Signed by Magistrate Judge Michael A. Hammer on 11/16/2021. (ams, )
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Filing 9
Consent MOTION for Leave to Appear Pro Hac Vice by RICHARD GOODMAN. (Attachments: #1 Certification of Garth Spencer, #2 Text of Proposed Order)(ALBERT, LEE)
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Filing 8
TEXT ORDER: The deadline for Defendant to file and serve an answer or a motion under Federal Rule of Civil Procedure 12 in response to the complaint shall be December 22, 2021. Plaintiff shall file and serve an opposition to any motion filed under Federal Rule of Civil Procedure 12 by January 26, 2022. Defendant shall file and serve any reply in support of a motion filed under Federal Rule of Civil Procedure 12 by February 9, 2022. So Ordered by Magistrate Judge Michael A. Hammer on 10/27/21. (tad)
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Filing 7
STIPULATION (JOINT) REGARDING TIME TO RESPOND TO AMENDED COMPLAINT AND BRIEFING SCHEDULE by UBS FINANCIAL SERVICES INC.. (SCHOENFELD, ALAN)
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Filing 6
Corporate Disclosure Statement by UBS FINANCIAL SERVICES INC. identifying UBS Americas Inc. as Corporate Parent.. (SCHOENFELD, ALAN)
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Filing 5
NOTICE of Appearance by ALAN E. SCHOENFELD on behalf of UBS FINANCIAL SERVICES INC. (SCHOENFELD, ALAN)
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Filing 4
SUMMONS Returned Executed by RICHARD GOODMAN. UBS FINANCIAL SERVICES INC. served on 10/15/2021, answer due 11/5/2021. (ALBERT, LEE)
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Filing 3
SUMMONS ISSUED as to UBS FINANCIAL SERVICES INC. Attached is the official court Summons, please fill out Defendant and Plaintiffs attorney information and serve. (ams, )
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Judge Kevin McNulty and Magistrate Judge Michael A. Hammer added. (ps)
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Filing 2
Request for Summons to be Issued by RICHARD GOODMAN, Individually And As Trustee of the Richard M. Goodman Revocable Living Trust as to UBS FINANCIAL SERVICES INC.. (ALBERT, LEE)
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Filing 1
COMPLAINT against UBS FINANCIAL SERVICES INC. ( Filing and Admin fee $ 402 receipt number ANJDC-12868863) with JURY DEMAND, filed by RICHARD GOODMAN, Individually And As Trustee of the Richard M. Goodman Revocable Living Trust. (Attachments: #1 Civil Cover Sheet)(ALBERT, LEE)
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