Rist v. HSBC Securities (USA) Inc.
Plaintiff: James Rist
Defendant: HSBC Securities (USA) Inc.
Interested Party: Jane Doe
Case Number: 1:2014cv06503
Filed: August 14, 2014
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: New York
Presiding Judge: Andrew L Carter
Nature of Suit: Civil Rights: Jobs
Cause of Action: 28:1391
Jury Demanded By: None
Docket Report

This docket was last retrieved on April 11, 2017. A more recent docket listing may be available from PACER.

Date Filed Document Text
April 11, 2017 Terminate Transcript Deadlines (mro)
April 11, 2017 Filing 100 STIPULATION OF DISMISSAL WITH PREJUDICE AND WITHOUT COSTS: THE MATTER in dispute having been amicably resolved, it is hereby stipulated an agreed by and between the undersigned that all claims asserted in the above-captioned matter are hereby dismissed in their entirety with prejudice as against all parties and without costs against any party. (Signed by Judge Andrew L. Carter, Jr on 4/10/2017(as per Chambers)) (mro) Modified on 4/11/2017 (mro).
March 27, 2017 Opinion or Order Filing 99 ORDER: The Court will hold a status conference in the above-captioned case on April 20, 2017 at 10:30 a.m. for the purpose of setting a trial date, at which the parties will propose a scheduling order to the parties to: exchange amended witness lists, deposition designations, and exhibit lists; file the Joint Pretrial Order; file motions in limine, voir dire questions, requests to charge, and verdict forms; and submit their respective oppositions to motions in limine, voir dire questions, requests to charge, and verdict forms. Counsel should appear in person in Courtroom 1306 at the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, NY, on the date and time specified above. (Status Conference set for 4/20/2017 at 10:30 AM in Courtroom 1306, 40 Centre Street, New York, NY 10007 before Judge Andrew L. Carter Jr..) (Signed by Judge Andrew L. Carter, Jr on 3/16/2017) (ap)
February 21, 2017 Filing 98 LETTER addressed to Judge Andrew L. Carter, Jr. from James R. Hubbard dated 02/21/2017 re: Joint Status Report. Document filed by James Rist.(Hubbard, James)
February 7, 2017 Opinion or Order Filing 97 ORDER: As stated during the January 31, 2017 status conference in this matter, the parties shall file a joint status report by February 21, 2017 indicating whether this matter has settled. If the matter has not settled and the parties would like assistance in settling the dispute, the parties should indicate whether they would like to be referred to the assigned magistrate judge or the court-annexed mediation program. If the parties do not wish to settle, the parties should indicate how they wish to proceed with the case. SO ORDERED. (Signed by Judge Andrew L. Carter, Jr on 2/6/2017) (anc)
January 31, 2017 Minute Entry for proceedings held before Judge Andrew L. Carter, Jr: Status Conference held on 1/31/2017. James R. Hubbard for Plaintiff(s). Randall W. Jackson and Gabrielle F. Levin for Defendant(s). Joint Status Report due by 2/21/2017. (tdh)
January 19, 2017 Opinion or Order Filing 96 ORDER, ( Status Conference set for 1/31/2017 at 11:15 AM in Courtroom 1306, 40 Centre Street, New York, NY 10007 before Judge Andrew L. Carter Jr.) The court will hold a status conference in the above-captioned case on January 31, 2017 at 11:15 a.m. (Signed by Judge Andrew L. Carter, Jr on 1/17/2017) (jwh)
November 30, 2016 Opinion or Order Filing 95 ORDER: The Court is in receipt of Defendant's letter motion dated November 29, 2016 for sanctions against Plaintiff. Plaintiff is ordered to respond by the end of the day on December 1, 2016. SO ORDERED., ( Responses due by 12/1/2016) (Signed by Judge Andrew L. Carter, Jr on 11/30/2016) (ama)
November 28, 2016 Opinion or Order Filing 94 ORDER. The parties should be prepared to discuss the relevance and impact of Chauca v. Abraham, 2016 U.S. App. LEXIS 19597 at tomorrow's final pre-trial conference. So ordered. (Signed by Judge Andrew L. Carter, Jr on 11/28/2016) (rjm)
October 13, 2016 Opinion or Order Filing 93 MEMO ENDORSEMENT on re: #92 Letter filed by HSBC Securities (USA) Inc.. ENDORSEMENT: SO ORDERED. (Signed by Judge Andrew L. Carter, Jr on 10/13/2016) (kgo)
October 5, 2016 Filing 92 LETTER addressed to Judge Andrew L. Carter, Jr. from Randall W. Jackson dated October 5, 2016 re: Request to Adjourn Trial Date. Document filed by HSBC Securities (USA) Inc..(Jackson, Randall)
October 5, 2016 Filing 91 NOTICE OF APPEARANCE by Randall Wade Jackson on behalf of HSBC Securities (USA) Inc.. (Jackson, Randall)
October 3, 2016 Opinion or Order Filing 90 ORDER: Due to a conflict on the Court's calendar, the status conference in this pair of related cases currently set for October 6, 2016 at 3:00 p.m. is adjourned to October 13, 2016 at 2:00 p.m. The parties (and/or counsel) should appear in person in Courtroom 1306 at the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, NY, on the date and time specified above. Status Conference set for 10/13/2016 at 02:00 PM in Courtroom 1306, 40 Centre Street, New York, NY 10007 before Judge Andrew L. Carter Jr.. (Signed by Judge Andrew L. Carter, Jr on 10/3/2016) (kgo)
September 21, 2016 Filing 89 LETTER addressed to Judge Andrew L. Carter, Jr. from Camille Oberkampf dated 09/21/2016 re: request to be removed from ECF notifications. Document filed by HSBC Securities (USA) Inc..(Oberkampff, Camille)
September 20, 2016 Opinion or Order Filing 88 ORDER. The Court will hold a status conference in this pair of related cases on October 6, 2016 at 3:00 p.m. The parties (and/or counsel) should appear in person in Courtroom 1306 at the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, NY, on the date and time specified above. The Court will hold a final pre-trial conference in Picarella v. HSBC (USA) Securities, Inc., 14-cv-4463 on November 29, 2016 at 10:00 a.m. The parties (and/or counsel) should appear in person in Courtroom 1306 at the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, NY, on the date and time specified above. SO ORDERED. (Status Conference set for 10/6/2016 at 03:00 PM in Courtroom 1306, 40 Centre Street, New York, NY 10007 before Judge Andrew L. Carter Jr.) (Signed by Judge Andrew L. Carter, Jr on 9/20/2016) (rjm)
August 2, 2016 Filing 87 LETTER addressed to Judge Andrew L. Carter, Jr. from James R. Hubbard dated August 2, 2016 re: Marc A. Susswein, Esq. Document filed by James Rist.(Adler, Robert)
August 1, 2016 Filing 86 NOTICE OF APPEARANCE by Asa F Smith on behalf of James Rist. (Smith, Asa)
August 1, 2016 Filing 85 NOTICE OF APPEARANCE by Robert Adler on behalf of James Rist. (Adler, Robert)
August 1, 2016 Opinion or Order Filing 84 MEMO ENDORSEMENT on re: (83 in 1:14-cv-06503-ALC) Status Report filed by HSBC Securities (USA) Inc., (103 in 1:14-cv-04463-ALC) Status Report filed by HSBC (USA) Securities, Inc.. ENDORSEMENT: SO ORDERED. ( Final Pretrial Conference set for 12/2/2016 at 10:00 AM before Judge Andrew L. Carter Jr..), ( Motions due by 11/4/2016., Pretrial Order due by 11/4/2016., Responses due by 11/18/2016, Replies due by 11/28/2016.) (Signed by Judge Andrew L. Carter, Jr on 8/1/2016) (kgo)
July 29, 2016 Filing 83 STATUS REPORT. (per Court's 4.13.16 Order) Document filed by HSBC Securities (USA) Inc..(Marshall, Damien)
July 13, 2016 Filing 82 LETTER addressed to Judge Andrew L. Carter, Jr. from Erin E. Lynch dated July 13, 2016 re: ECF notifications. Document filed by James Rist.(Lynch, Erin)
May 16, 2016 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Settlement Conference held on 5/16/2016. Did not settle. (Kelly, Diane)
April 21, 2016 Opinion or Order Filing 81 ORDER FOR SETTLEMENT CONFERENCE: Settlement Conference set for 5/16/2016 at 02:00 PM in Courtroom 20D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Andrew J. Peck. Counsel attending the conference must have full settlement authority and their client(s) must be present at the conference, as must a representative of the client's insurance company where the decision to settle and/or amount of settlement must be approved by the insurance company. Counsel shall provide a confidential settlement memorandum to my chambers. The memorandum shall not be filed with the Clerk of the Court nor provided to opposing counsel. The memorandum should explain the factual and legal background of the case as it impacts on settlement negotiations; the status of prior settlement discussions between the parties; and the party's settlement proposal (range). See Order. (Signed by Magistrate Judge Andrew J. Peck on 4/21/2016) (tn)
April 14, 2016 Opinion or Order Filing 80 MEMO ENDORSEMENT on re: #75 Letter filed by James Rist. ENDORSEMENT: SO ORDERED. Attorney LaKeisha Marie Antoinett Caton terminated. (Signed by Judge Andrew L. Carter, Jr on 4/14/2016) (cf)
April 13, 2016 Opinion or Order Filing 79 ORDER: The parties should submit a joint status report by July 29, 2016. (Signed by Judge Andrew L. Carter, Jr on 4/13/2016) (kgo)
April 13, 2016 Opinion or Order Filing 78 ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Settlement. Referred to Magistrate Judge Andrew J. Peck. (Signed by Judge Andrew L. Carter, Jr on 4/13/2016) (kgo)
April 13, 2016 Opinion or Order Filing 77 ORDER SETTING DATE FOR JURY SELECTION AND TRIAL: Jury selection and trial in the above-captioned cases shall start on Monday, December 5, 2016 at 9:30 a.m. Counsel should appear in person in Courtroom 1306 at the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, NY, on the date and time specified above. Jury Selection set for 12/5/2016 at 09:30 AM in Courtroom 1306, 40 Centre Street, New York, NY 10007 before Judge Andrew L. Carter Jr.. Jury Trial set for 12/5/2016 at 09:30 AM in Courtroom 1306, 40 Centre Street, New York, NY 10007 before Judge Andrew L. Carter Jr.. (Signed by Judge Andrew L. Carter, Jr on 4/13/2016) (kgo)
April 13, 2016 Opinion or Order Filing 76 ORDER SETTING FINAL PRETRIAL CONFERENCE: The Court will hold the final pretrial conference in the above-captioned cases on Friday, December 2, 2016 at 10:00 a.m. Counsel should appear in person in Courtroom 1306 at the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, NY, on the date and time specified above. Final Pretrial Conference set for 12/2/2016 at 10:00 AM in Courtroom 1306, 40 Centre Street, New York, NY 10007 before Judge Andrew L. Carter Jr.. (Signed by Judge Andrew L. Carter, Jr on 4/13/2016) (kgo)
April 13, 2016 Filing 75 LETTER addressed to Judge Andrew L. Carter, Jr. from LaKeisha M.A. Caton dated April 13, 2016 re: ECF Notifications. Document filed by James Rist.(Caton, LaKeisha)
April 12, 2016 Minute Entry for proceedings held before Judge Andrew L. Carter, Jr: Scheduling Conference held on 4/12/2016. James R. Hubbard and Marc A. Susswein for Plaintiff(s). David L. Simons and Randall Jackson for Defendant(s). See Docket Nos. 76-79 for complete details. Court Reporter: Lisa Fellis. (tdh)
April 11, 2016 Filing 74 MEMO ENDORSEMENT on re: #73 Letter filed by James Rist. ENDORSEMENT: Plaintiffs have retracted their request to adjourn the conference. Conference will proceed at 4/12/16 at 3:30pm as originally scheduled. (Signed by Judge Andrew L. Carter, Jr on 4/11/2016) (cf)
April 8, 2016 Filing 73 LETTER addressed to Judge Andrew L. Carter, Jr. from James R. Hubbard dated April 8, 2016 re: April 12, 2016 scheduling conference. Document filed by James Rist.(Lynch, Erin)
April 5, 2016 Opinion or Order Filing 72 ORDER: The presence of these disputed issues of material fact herein makes summary judgment in both cases inappropriate. The Court therefore denies the motions and orders a scheduling conference to set trial deadlines on April 12, 2016 at 3:30 p.m. Counsel for the parties should report to Courtroom 1306 at the Thurgood Marshall U.S. Courthouse, 40 Foley Square, New York, NY 10007. (As further set forth in this Order.) ( Scheduling Conference set for 4/12/2016 at 03:30 PM in Courtroom 1306, 40 Centre Street, New York, NY 10007 before Judge Andrew L. Carter Jr..) (Signed by Judge Andrew L. Carter, Jr on 4/4/2016) (kgo)
March 31, 2016 Opinion or Order Filing 71 ORDER denying #50 Motion for Summary Judgment. In this pair of related suits, Michael Picarella and James Rist each accuse their former employer, HSBC (USA) Securities, Inc. ("HSBC"), of retaliating against them after they reported the sexual harassment of a work colleague. Both allege violations of Title VII of the Civil Rights Act, the New York State Human Rights Law, and the New York City Human Rights Law. HSBC moved for summary judgment on all claims (ECF No. 68 in 14-cv-4463; ECF No. 50 in 14-cv-6503). Because material issues of fact remain, summary judgment in both cases is DENIED. A memorandum opinion explaining the Court's reasoning will follow shortly. (Signed by Judge Andrew L. Carter, Jr on 3/31/2016) (kgo) Modified on 4/4/2016 (kgo).
November 12, 2015 Filing 70 LETTER addressed to Judge Andrew L. Carter, Jr. from James R. Hubbard dated November 12, 2015 re: Defendant's Supplemental Authority for Motion for Summary Judgment. Document filed by James Rist.(Caton, LaKeisha)
November 3, 2015 Filing 69 LETTER addressed to Judge Andrew L. Carter, Jr. from Damien J. Marshall dated 11/03/2015 re: Supplemental Authority for Motion for Summary Judgment. Document filed by HSBC Securities (USA) Inc.. (Attachments: #1 Exhibit)(Marshall, Damien)
November 2, 2015 Filing 68 LETTER addressed to Judge Andrew L. Carter, Jr. from Damien J. Marshall dated 11/02/2015 re: Motion for Summary Judgment Exhibit. Document filed by HSBC Securities (USA) Inc.. (Attachments: #1 Exhibit 87)(Marshall, Damien)
October 30, 2015 Filing 67 DECLARATION of Damien J. Marshall in Support re: #50 MOTION for Summary Judgment .. Document filed by HSBC Securities (USA) Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Marshall, Damien)
October 30, 2015 Filing 66 REPLY MEMORANDUM OF LAW in Support re: #50 MOTION for Summary Judgment . . Document filed by HSBC Securities (USA) Inc.. (Marshall, Damien)
October 30, 2015 Filing 65 RULE 56.1 STATEMENT. Document filed by HSBC Securities (USA) Inc.. (Marshall, Damien)
October 30, 2015 Filing 64 DECLARATION of Damien J. Marshall in Support re: #50 MOTION for Summary Judgment .. Document filed by HSBC Securities (USA) Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16, #17 Exhibit 17, #18 Exhibit 18, #19 Exhibit 19, #20 Exhibit 20, #21 Exhibit 21, #22 Exhibit 22, #23 Exhibit 23, #24 Exhibit 24, #25 Exhibit 25, #26 Exhibit 26, #27 Exhibit 27, #28 Exhibit 28, #29 Exhibit 39 to 33, #30 Exhibit 34, #31 Exhibit 35, #32 Exhibit 36, #33 Exhibit 37, #34 Exhibit 38, #35 Exhibit 39, #36 Exhibit 40, #37 Exhibit 41, #38 Exhibit 42, #39 Exhibit 43, #40 Exhibit 44, #41 Exhibit 45, #42 Exhibit 46, #43 Exhibit 47, #44 Exhibit 48, #45 Exhibit 49, #46 Exhibit 50, #47 Exhibit 51, #48 Exhibit 52, #49 Exhibit 53, #50 Exhibit 54, #51 Exhibit 55 Part 1, #52 Exhibit 55 Part 2, #53 Exhibit 56, #54 Exhibit 57, #55 Exhibit 58 and 59, #56 Exhibit 60, #57 Exhibit 61, #58 Exhibit 62, #59 Exhibit 63, #60 Exhibit 64, #61 Exhibit 65, #62 Exhibit 66, #63 Exhibit 67 Part 1, #64 Exhibit 67 Part 2, #65 Exhibit 68, #66 Exhibit 69, #67 Exhibit 70, #68 Exhibit 71, #69 Exhibit 72, #70 Exhibit 73, #71 Exhibit 74, #72 Exhibit 75, #73 Exhibit 76, #74 Exhibit 77, #75 Exhibit 78, #76 Exhibit 79, #77 Exhibit 80 Part 1, #78 Exhibit 80 Part 2, #79 Exhibit 80 Part 3, #80 Exhibit 81, #81 Exhibit 82, #82 Exhibit 83, #83 Exhibit 84, #84 Exhibit 85, #85 Exhibit 86)(Marshall, Damien)
October 30, 2015 Filing 63 MEMORANDUM OF LAW in Support re: #50 MOTION for Summary Judgment . . Document filed by HSBC Securities (USA) Inc.. (Marshall, Damien)
October 30, 2015 Filing 62 DECLARATION of Marc A. Susswein in Opposition re: #50 MOTION for Summary Judgment .. Document filed by James Rist. (Attachments: #1 Exhibit 1-5, #2 Exhibit 6-18, #3 Exhibit 19-31, #4 Exhibit 32-35, #5 Exhibit 36-37, #6 Exhibit 38-45, #7 Exhibit 46-50, #8 Exhibit 51-61, #9 Exhibit 62-64, #10 Exhibit 65-66, #11 Exhibit 67-71, #12 Exhibit 72-79, #13 Exhibit 80-82, #14 Exhibit 83-84, #15 Exhibit 85-96, #16 Exhibit 97.1, #17 Exhibit 97.2, #18 Exhibit 97.3, #19 Exhibit 98-99, #20 Exhibit 100-103, #21 Exhibit 104-109, #22 Exhibit 110-119)(Caton, LaKeisha)
October 30, 2015 Filing 61 RULE 56.1 STATEMENT. Document filed by James Rist. (Caton, LaKeisha)
October 30, 2015 Filing 60 DECLARATION of James Rist in Opposition re: #50 MOTION for Summary Judgment .. Document filed by James Rist. (Caton, LaKeisha)
October 30, 2015 Filing 59 MEMORANDUM OF LAW in Opposition re: #50 MOTION for Summary Judgment . . Document filed by James Rist. (Caton, LaKeisha)
October 29, 2015 Filing 58 SEALED DOCUMENT placed in vault.(mps)
October 28, 2015 Filing 57 SEALED DOCUMENT placed in vault.(mps)
October 19, 2015 Filing 56 ENDORSED LETTER addressed to Judge Andrew L. Carter, Jr. from James R. Hubbard dated 10/19/2015 re: Request to file documents in redacted form. ENDORSEMENT: Application GRANTED. (Signed by Judge Andrew L. Carter, Jr on 10/19/2015) (spo)
August 11, 2015 Filing 55 AFFIDAVIT OF SERVICE of Reply in Support of Motion for Summary Judgment served on James Rist on August 7, 2015. Document filed by HSBC Securities (USA) Inc.. (Marshall, Damien)
August 11, 2015 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Damien Jerome Marshall to RE-FILE Document #54 Response in Support of Motion. Use the event type Certificate of Service Other found under the event list Service of Process. (db)
August 7, 2015 Filing 54 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - RESPONSE in Support of Motion re: #50 MOTION for Summary Judgment . Affirmation of Service. Document filed by HSBC Securities (USA) Inc. (Marshall, Damien) Modified on 8/11/2015 (db).
July 17, 2015 Filing 53 MEMORANDUM OF LAW in Opposition re: #50 MOTION for Summary Judgment . . Document filed by James Rist. (Lynch, Erin)
June 19, 2015 Opinion or Order Filing 52 ORDER: By letter dated June 11, 2015, nonparty Jane Doe requested an order directing the parties to redact all identifying information of the non-party in its motion papers, documents, and testimony. Such identifying information includes the nonparty's name, telephone number, and email address. The parties do not object. By this order, the Court directs the parties to redact all identifying information of the nonparty in any papers or testimony submitted to the Court. (Signed by Judge Andrew L. Carter, Jr on 6/19/2015) (kgo)
June 17, 2015 Filing 51 LETTER addressed to Judge Andrew L. Carter, Jr. from Gabrielle Levin dated June 17, 2015 re: filing under seal. Document filed by HSBC Securities (USA) Inc..(Levin, Gabrielle)
June 12, 2015 Filing 50 MOTION for Summary Judgment . Document filed by HSBC Securities (USA) Inc..(Marshall, Damien)
June 12, 2015 Opinion or Order Filing 49 ORDER: By telephone conference on June 9, 2015 in which counsel for all parties and for non-party witness Jane Doe were present, non-party Jane Doe requested redaction of her identifying information in all papers associated with the above-captioned cases, consistent with Magistrate Judge Peck's previous on-the-record orders in these matters. The parties did not object to the request. Accordingly, the Court orders that all references to the non-party witness by name contained in the parties submissions be redacted or substituted by reference to Jane Doe. (Signed by Judge Andrew L. Carter, Jr on 6/10/2015) (kgo)
June 10, 2015 Filing 48 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a telephone conference proceeding held on 6/1/2015 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 9, 2015 Filing 47 TRANSCRIPT of Proceedings re: conference held on 6/1/2015 before Magistrate Judge Andrew J. Peck. Court Reporter/Transcriber: Samuel Mauro, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 7/6/2015. Redacted Transcript Deadline set for 7/13/2015. Release of Transcript Restriction set for 9/11/2015.(McGuirk, Kelly)
June 8, 2015 Filing 46 NOTICE OF APPEARANCE by Joshua James Libling on behalf of HSBC Securities (USA) Inc.. (Libling, Joshua)
June 5, 2015 Opinion or Order Filing 45 ORDER: By letter dated June 1, 2015, supplemented by telephone request on June 4, 2015, the parties jointly requested an adjournment of the briefing schedule for defendants' anticipated motions for summary judgment and a staggered briefing schedule for said motions. For the reasons discussed at the conference with Magistrate Judge Peck on May 8, 2015, the parties'requests are DENIED. In accordance with Magistrate Judge Peck's previous order, the defendants should file both motions for summary judgment on or before June 12, 2015. Plaintiffs' oppositions are due on or before July 17, 2015. Any replies are due on or before August 7, 2015. Any evidence that the parties wish to file under seal should be accompanied by separate motion that includes the party's proposed redactions and the grounds for sealing. Said motions are also due on or before June 12, 2015, with the understanding that they remain subject to Court approval and may be denied. Should the parties desire a definitive ruling as to whether the Court will approve sealing requests before filing motions for summary judgment attaching evidence proposed for sealing, any motions to seal evidence should be filed as far in advance of the motions for summary judgment as possible. Motions due by 6/12/2015. Responses due by 7/17/2015 Replies due by 8/7/2015. (Signed by Judge Andrew L. Carter, Jr on 6/5/2015) (kgo)
June 4, 2015 Filing 44 NOTICE OF APPEARANCE by LaKeisha Marie Antoinett Caton on behalf of James Rist. (Caton, LaKeisha)
June 1, 2015 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Telephone Conference held on 6/1/2015. Issues re non-party deposition and certain documents from Mr. Rist ruled on - see transcript. (Gray, Diane)
June 1, 2015 Filing 43 LETTER addressed to Judge Andrew L. Carter, Jr. from James R. Hubbard dated June 1, 2015 re: Summary Judgment Motion Briefing Schedule. Document filed by James Rist.(Lynch, Erin)
May 29, 2015 Filing 42 LETTER addressed to Judge Andrew L. Carter, Jr. from Marc A. Susswein dated May 29, 2015 re: Response to Defendant's Letter re Pre-Summary Judgment Motion Conference. Document filed by James Rist.(Lynch, Erin)
May 28, 2015 Filing 41 MEMO ENDORSEMENT on re: #39 Letter filed by HSBC Securities (USA) Inc.. ENDORSEMENT: Plaintiff should respond to this letter on or before June 4, 2015. (Signed by Judge Andrew L. Carter, Jr on 5/28/2015) (kgo)
May 27, 2015 Opinion or Order Filing 40 ORDER: In response to Mr. Lupkin's letter of today's date, the Court rules that production of any documents or information (including answers to questions at her deposition) by Mr. Lupkin's client in response to the subpoena in this case is not a violation of his client's settlement agreement with HSBC. SO ORDERED. (Signed by Magistrate Judge Andrew J. Peck on 5/27/2015) (ajs)
May 22, 2015 Filing 39 LETTER addressed to Judge Andrew L. Carter, Jr. from Damien J. Marshall dated May 22, 2015 re: Request for Pre-Summary Judgment Motion Conference. Document filed by HSBC Securities (USA) Inc..(Marshall, Damien)
May 22, 2015 Opinion or Order Filing 38 ORDER GRANTING MOTION FOR ADMISSION PRO HAC VICE granting #37 Motion for Eugene Scalia, Esq. to Appear Pro Hac Vice. (Signed by Magistrate Judge Andrew J. Peck on 5/22/2015) (spo)
May 21, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #37 MOTION for Eugene Scalia to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10945594. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
May 21, 2015 Filing 37 MOTION for Eugene Scalia to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10945594. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by HSBC Securities (USA) Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Text of Proposed Order)(Scalia, Eugene)
May 14, 2015 Filing 36 MEMO ENDORSEMENT on re: (55 in 1:14-cv-04463-ALC-AJP) Letter filed by HSBC (USA) Securities, Inc., (35 in 1:14-cv-06503-ALC-AJP) Letter filed by HSBC Securities (USA) Inc. ENDORSEMENT: THE SJ MOTION MUST BE FILED BY 6/12/15 REGARDLESS OF PREMOTION CLEARANCE. (Motions due by 6/12/2015.) (Signed by Magistrate Judge Andrew J. Peck on 5/13/2015) (tn)
May 13, 2015 Filing 35 LETTER addressed to Magistrate Judge Andrew J. Peck from Damien J. Marshall dated May 13, 2015 re: Confirmation of Summary Judgment Briefing Schedule. Document filed by HSBC Securities (USA) Inc..(Marshall, Damien)
May 11, 2015 Opinion or Order Filing 34 MEMO ENDORSEMENT on re: #33 Letter regarding ECF Notifications, filed by James Rist. ENDORSEMENT: SO ORDERED. (Signed by Judge Andrew L. Carter, Jr on 5/11/2015) (spo)
May 11, 2015 Filing 33 LETTER addressed to Judge Andrew L. Carter, Jr. from Michael E. Grenert dated May 11, 2015 re: ECF Notifications. Document filed by James Rist.(Lynch, Erin)
May 8, 2015 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Status Conference held on 5/8/2015. 1.Parties to contact if disputes.2.Disc. cutoff 5/8/15, SJ notice 5/22, SJ motion due 6/12 (no extensions).3.Discovery disputes resolved - see transcript. (Gray, Diane)
May 7, 2015 Filing 32 NOTICE OF APPEARANCE by Gabrielle Frances Levin on behalf of HSBC Securities (USA) Inc.. (Levin, Gabrielle)
May 5, 2015 Set/Reset Deadlines: Discovery due by 5/31/2015. (tn)
May 5, 2015 Opinion or Order Filing 31 STIPULATION AND ORDER: that the discovery cut-off in these matters be extended from May 15, 2015 to May 31, 2015, inclusive, for the limited purpose of permitting [redacted] to complete her response to the Document Subpoena and appear to give testimony pursuant to the Deposition Subpoena. (Signed by Magistrate Judge Andrew J. Peck on 5/5/2015) (tn)
May 5, 2015 Filing 30 NOTICE OF APPEARANCE by Marc Adam Susswein on behalf of James Rist. (Susswein, Marc)
May 5, 2015 Filing 29 NOTICE OF APPEARANCE by Erin Elizabeth Lynch on behalf of James Rist. (Lynch, Erin)
May 5, 2015 Filing 28 FIRST LETTER MOTION for Extension of Time to Complete Discovery with respect to single non-party witness addressed to Magistrate Judge Andrew J. Peck from Jonathan D. Lupkin dated May 5, 2015. Document filed by Jane Doe. (Attachments: #1 Stipulation and Proposed Order)(Lupkin, Jonathan)
May 5, 2015 Filing 27 NOTICE OF APPEARANCE by Jonathan Daniel Lupkin on behalf of Jane Doe. (Lupkin, Jonathan)
April 23, 2015 Filing 26 NOTICE OF APPEARANCE by Ilana Rae Miller on behalf of HSBC Securities (USA) Inc.. (Miller, Ilana)
April 17, 2015 Opinion or Order Filing 25 ORDER granting #24 Letter Motion to Adjourn Conference: The conference currently scheduled for Monday, April 27 at 11:30 a.m. is rescheduled to Friday, May 8, 2015 at 11:00 am. No other deadlines in either case are extended. Status Conference set for 5/8/2015 at 11:00 AM before Magistrate Judge Andrew J. Peck. (Signed by Magistrate Judge Andrew J. Peck on 4/17/2015) (tn)
April 17, 2015 Filing 24 FIRST LETTER MOTION to Adjourn Conference and reschedule status conference addressed to Magistrate Judge Andrew J. Peck from Damien J. Marshall dated April 17, 2015. Document filed by HSBC Securities (USA) Inc..(Marshall, Damien)
April 1, 2015 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Status Conference held on 4/1/2015. Status conf. 4/27 at 11:30AMDisc. cutoff 5/15/15 (no extensions), SJ notice 5/18, motion or PTO 6/5. (Gray, Diane)
March 31, 2015 Filing 23 FIRST LETTER addressed to Magistrate Judge Andrew J. Peck from James R. Hubbard dated March 31, 2015 re: Extension of Discovery Deadline. Document filed by James Rist.(Hubbard, James)
March 6, 2015 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Status Conference held on 3/6/2015. Status conf. 4/1 at 10AM Still finishing doc. production. AJP reminds counsel that 4/15 disc cutoff won't be extended. (Gray, Diane)
March 5, 2015 Mediator Session Held on 03/05/2015 at Office of Plaintiff's Counsel.(ms)
February 20, 2015 MEDIATOR SESSION SCHEDULED First Mediation Session scheduled for 3/5/15, 10:00 AM at Office of Plaintiff's Counsel.(ms)
February 6, 2015 Filing 21 STATUS REPORT. Document filed by HSBC Securities (USA) Inc., James Rist.(Oberkampff, Camille)
February 5, 2015 Opinion or Order Filing 20 RULE 502(d) ORDER: The production of privileged or work-product protected documents, electronically stored information ("ESI") or information, whether inadvertent or otherwise, is not a waiver of the privilege or protection from discovery in this case or in any other federal or state proceeding. This Order shall be interpreted to provide the maximum protection allowed by Federal Rule of Evidence 502(d). Nothing contained herein is intended to or shall serve to limit a party's right to conduct a review of documents, ESI or information (including metadata) for relevance, responsiveness and/or segregation of privileged and/or protected information before production. (Signed by Magistrate Judge Andrew J. Peck on 2/5/2015) (tn)
February 5, 2015 Opinion or Order Filing 19 PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... SO ORDERED, AS MODIFIED. (Signed by Magistrate Judge Andrew J. Peck on 2/5/2015) (tn)
January 30, 2015 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Status Conference held on 1/30/2015. Status conf. 2/10 at 2 PM.Parties have accomplished little or nothing since the 10/23/14 conf.AJP rules re confidentiality agreement terms - see transcript. Confidentiality Stip due 2/2.Report re keywords & custodians due 2/6.AJP tells parties to move the case cooperatively and more quickly, and that the 4/30 discovery cutoff will nor be extended for any reason. (Gray, Diane)
January 26, 2015 Opinion or Order Filing 18 ORDER RESCHEDULING STATUS CONFERENCE: The status conference originally scheduled for January 27, 2015 is rescheduled to January 29, 2015 at 3:00 PM before Magistrate Judge Andrew J. Peck in Courtroom 20D, 500 Pearl Street. (Status Conference set for 1/29/2015 at 03:00 PM in Courtroom 20D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Andrew J. Peck.) (Signed by Magistrate Judge Andrew J. Peck on 1/26/2015) (tn)
December 11, 2014 Set/Reset Hearings: Status Conference set for 1/27/2015 at 09:30 AM before Magistrate Judge Andrew J. Peck. (tn)
December 11, 2014 Opinion or Order Filing 17 ORDER granting #16 Letter Motion for Extension of Time: Conf. rescheduled from 12/12/14 to 1/27/15 at 9:30 AM. (This also resolves Dkt No 16 in 14 Civ. 6503). (Signed by Magistrate Judge Andrew J. Peck on 12/10/2014) (tn)
December 10, 2014 Filing 16 FIRST LETTER MOTION for Extension of Time to reschedule status conference addressed to Magistrate Judge Andrew J. Peck from JAMES RIST AND HSBC SECURITIES (USA) INC. (JOINTLY) dated 12/10/2014. Document filed by HSBC Securities (USA) Inc., James Rist.(Hubbard, James)
December 2, 2014 NOTICE OF MEDIATOR ASSIGNMENT - Notice of assignment of mediator. Mediator Schedule due by 1/2/2015.(cda)
November 24, 2014 Opinion or Order Filing 15 JOINT ELECTRONIC DISCOVERY SUBMISSION NO. 1 AND ORDER: This Joint Submission and Order (and any subsequent ones) shall be the governing document(s) by which the parties and the Court manage the electronic discovery process in this action. The parties and the Court recognize that this Joint Electronic Discovery Submission No. 1 and Order is based on facts and circumstances as they are currently known to each party, that the electronic discovery process is iterative, and that additions and modifications to this Submission may become necessary as more information becomes known to the parties, and as further set forth in this order. (Signed by Magistrate Judge Andrew J. Peck on 11/24/2014) (tn)
November 21, 2014 Opinion or Order Filing 14 ORDER OF AUTOMATIC REFERRAL TO MEDIATION (See M-10-468 Order filed January 3, 2011). Please reference the following when corresponding with the Mediation Office. E-mail MediationOffice@nysd.uscourts.gov, telephone (212) 805-0643, and facsimile (212) 805-0647. Mediator to be Assigned by 12/1/2014. (Signed by Judge Loretta A. Preska on 1/3/2011) (rpr)
November 21, 2014 Filing 13 ANSWER to #1 Complaint. Document filed by HSBC Securities (USA) Inc..(Marshall, Damien)
November 21, 2014 Filing 12 STATUS REPORT. JOINT ELECTRONIC DISCOVERY SUBMISSION NO. 1 Document filed by HSBC Securities (USA) Inc., James Rist.(Hubbard, James)
October 27, 2014 Opinion or Order Filing 11 RULE 16 IPTC SCHEDULING ORDER: Motions to join parties or amend the pleadings due by 11/10/2014. Fact Discovery due by 4/15/2015. Expert Discovery due by 4/15/2015. Summary judgment motions due by 5/8/2015. Proposed Pretrial Order due by 5/8/2015 if neither party is moving for summary judgment, or 30 days after decision on the summary judgment motion. Status Conference set for 12/12/2014 at 09:30 AM in Courtroom 20D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Andrew J. Peck. (Signed by Magistrate Judge Andrew J. Peck on 10/27/2014) (tn)
October 27, 2014 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Status Conference held on 10/23/2014. 1.Status conf. 12/12/14 at 9:30 AM.2.Disc. cutoff 4/15/15, SJ notice 4/17/15, motion or PTO 5/8/15. (Gray, Diane)
October 22, 2014 Opinion or Order Filing 10 ORDER SCHEDULING INITIAL PRETRIAL CONFERENCE: Initial Conference set for 10/23/2014 at 04:00 PM in Courtroom 20D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Andrew J. Peck. Counsel are advised that my chambers (Room 1370, 500 Pearl Street) are to be provided with a courtesy copy of all papers hereafter filed with the Court. (Signed by Magistrate Judge Andrew J. Peck on 10/22/2014) (tn)
October 21, 2014 Minute Entry for proceedings held before Judge Andrew L. Carter, Jr: Pre-Motion Conference held on 10/21/2014. James Hubbard and Marc Susswein for Plaintiff(s). Damine J. Marshall and Camille Oberkampff for Defendant(s). Answer due 11/21/14. Case referred to Judge Peck for general pre-trial purposes. (tdh)
October 21, 2014 Filing 9 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent HSBC Markets (USA) Inc., Corporate Parent HSBC Holdings plc, Corporate Parent HSBC North America Holdings Inc. for HSBC Securities (USA) Inc.. Document filed by HSBC Securities (USA) Inc..(Marshall, Damien)
October 21, 2014 Filing 8 NOTICE OF APPEARANCE by Camille Oberkampff on behalf of HSBC Securities (USA) Inc.. (Oberkampff, Camille)
October 21, 2014 Filing 7 NOTICE OF APPEARANCE by Damien Jerome Marshall on behalf of HSBC Securities (USA) Inc.. (Marshall, Damien)
October 21, 2014 Opinion or Order Filing 6 ORDER OF REFERENCE TO A MAGISTRATE JUDGE: Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Referred to Magistrate Judge Andrew J. Peck. SO ORDERED. (Signed by Judge Andrew L. Carter, Jr on 10/21/2014) (ama)
October 6, 2014 Opinion or Order Filing 5 MEMO ENDORSEMENT on re: (6 in 1:14-cv-04463-ALC) Letter filed by HSBC (USA) Securities, Inc. ENDORSEMENT: The Court will hold a status conference in this action and 14-cv-6503 at which time this letter will be addressed. Counsel for the parties shall appear in person in courtroom 1306, 40 Foley Square, New York, NY at the date and time specified below: October 21, 2014 at 2:00 p.m. SO ORDERED. ( Status Conference set for 10/21/2014 at 02:00 PM in Courtroom 1306, 40 Centre Street, New York, NY 10007 before Judge Andrew L. Carter Jr..) (Signed by Judge Andrew L. Carter, Jr on 10/06/2014) (ama)
September 26, 2014 Filing 4 WAIVER OF SERVICE RETURNED EXECUTED. HSBC Securities (USA) Inc. waiver sent on 9/9/2014, answer due 11/10/2014. Document filed by James Rist. (Hubbard, James)
September 8, 2014 Magistrate Judge Andrew J. Peck is so designated. (pgu)
September 8, 2014 NOTICE OF CASE ASSIGNMENT to Judge Andrew L. Carter, Jr. Judge Unassigned is no longer assigned to the case. (pgu)
September 8, 2014 CASE ACCEPTED AS RELATED. Create association to 1:14-cv-04463-ALC. Notice of Assignment to follow. (pgu)
August 14, 2014 CASE REFERRED TO Judge Andrew L. Carter, Jr. as possibly related to 14cv4463. (laq)
August 14, 2014 Filing 3 STATEMENT OF RELATEDNESS re: that this action be filed as related to 14 CV 4463. Document filed by James Rist.(Kaliakina, Tatiana)
August 14, 2014 Filing 2 CIVIL COVER SHEET filed. (Kaliakina, Tatiana)
August 14, 2014 Case Designated ECF. (Kaliakina, Tatiana)
August 14, 2014 SUMMONS ISSUED as to HSBC Securities (USA) Inc.. (Kaliakina, Tatiana)
August 14, 2014 Filing 1 COMPLAINT against HSBC Securities (USA) Inc.. (Filing Fee $ 350.00, Receipt Number 01102395)Document filed by James Rist.(Kaliakina, Tatiana)

Access additional case information on PACER

Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.

Access this case on the New York Southern District Court's Electronic Court Filings (ECF) System

Search for this case: Rist v. HSBC Securities (USA) Inc.
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Web [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ]
Interested party: Jane Doe
Represented By: Jonathan Daniel Lupkin
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: James Rist
Represented By: Asa F. Smith
Represented By: James Ryan Hubbard
Represented By: Michael Evan Grenert
Represented By: Erin Elizabeth Lynch
Represented By: LaKeisha Marie Antoinett Caton
Represented By: Robert Adler
Represented By: Marc Adam Susswein
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: HSBC Securities (USA) Inc.
Represented By: Ilana Rae Miller
Represented By: Camille Oberkampff
Represented By: Damien Jerome Marshall
Represented By: James Ryan Hubbard
Represented By: Randall Wade Jackson
Represented By: Gabrielle Frances Levin
Represented By: Eugene Scalia
Represented By: Joshua James Libling
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]

Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.


Why Is My Information Online?