Williamson v. Morgan Stanley Smith Barney, LLC et al
| Richard A. Williamson |
| Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holdings, LLC |
| 1:2018cv06985 |
| August 2, 2018 |
| U.S. District Court for the Southern District of New York |
| Foley Square Office |
| NewYork |
| Paul G Gardephe |
| Other Statutes: Arbitration |
| 09 U.S.C. § 12 |
| None |
Docket Report
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This docket was last retrieved on September 12, 2018. A more recent docket listing may be available from PACER.
| Document Text |
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| Filing 26 LETTER addressed to Judge Paul G. Gardephe from Joshua D. Brinen dated 9/12/2018 re: Courtesy Copy of Reply to Respondent's opposition. Document filed by Richard A. Williamson.(Brinen, Joshua) |
| Filing 25 REPLY MEMORANDUM OF LAW in Opposition re: #15 MOTION to Confirm Arbitration . . Document filed by Richard A. Williamson. (Brinen, Joshua) |
| Filing 24 REPLY AFFIDAVIT of Joshua D. Brinen in Opposition re: #15 MOTION to Confirm Arbitration .. Document filed by Richard A. Williamson. (Attachments: #1 Exhibit Email from Petitioner)(Brinen, Joshua) |
| Filing 23 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU (SEE #25 Reply Memorandum in Opposition) - REPLY MEMORANDUM OF LAW in Support re: #15 MOTION to Confirm Arbitration . . Document filed by Richard A. Williamson. (Brinen, Joshua) Modified on 9/10/2018 (db). |
Filing 22
JOINT STIPULATION FOR EXTENSION OF TIME FOR PETITIONER TO REPLY TO RESPONDENTS' OPPOSITION TO PETITION TO VACATE ARBITRATION AWARD AND TO OPPOSE RESPONDENTS' CROSS-PETITION TO CONFIRM ARBITRATION AWARD: Petitioner's Reply and Opposition, now due on September 5, 2018, shall be extended until September 10, 2018. No previous requests for an extension have been made. (As further set forth in this Order.) (Responses due by 9/10/2018, Replies due by 9/10/2018.) (Signed by Judge Paul G. Gardephe on 9/6/2018) (cf)
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| Filing 21 PROPOSED CASE MANAGEMENT PLAN. Document filed by Morgan Stanley Smith Barney FA Notes Holdings, LLC, Morgan Stanley Smith Barney, LLC, Richard A. Williamson. (Brinen, Joshua) |
| Filing 20 PROPOSED STIPULATION AND ORDER. Document filed by Richard A. Williamson. (Brinen, Joshua) |
| Filing 19 MEMORANDUM OF LAW in Support re: #15 MOTION to Confirm Arbitration . . Document filed by Morgan Stanley Smith Barney FA Notes Holdings, LLC, Morgan Stanley Smith Barney, LLC. (Berg, Jonathan) |
| Filing 18 DECLARATION of Jonathan D. Berg in Support re: #15 MOTION to Confirm Arbitration .. Document filed by Morgan Stanley Smith Barney FA Notes Holdings, LLC, Morgan Stanley Smith Barney, LLC. (Attachments: #1 Exhibit FINRA Code of Arbitration for Industry Disputes, #2 Exhibit FINRA Regulatory Notice 17-03, #3 Exhibit FINRA By-laws, #4 Exhibit NASD Notice to Members 97-31, #5 Exhibit Property records, #6 Exhibit Obituary 4/14/11, #7 Exhibit Google Map directions)(Berg, Jonathan) |
| Filing 17 DECLARATION of Elio F. Martinez, Jr. in Support re: #15 MOTION to Confirm Arbitration .. Document filed by Morgan Stanley Smith Barney FA Notes Holdings, LLC, Morgan Stanley Smith Barney, LLC. (Attachments: #1 Exhibit Demand letter 2/1/18, #2 Exhibit Email 4/25/18)(Berg, Jonathan) |
| Filing 16 DECLARATION of Wendy R. Robinson in Support re: #15 MOTION to Confirm Arbitration .. Document filed by Morgan Stanley Smith Barney FA Notes Holdings, LLC, Morgan Stanley Smith Barney, LLC. (Attachments: #1 Exhibit Promissory Note, #2 Exhibit Form U4, #3 Exhibit Amended Form U4, #4 Exhibit WebCRD 12/13/17, #5 Exhibit Demand Letter 12/19/17, #6 Exhibit Statement of Claim, #7 Exhibit FINRA letters 2/28/18, #8 Exhibit FINRA letters 4/20/18, #9 Exhibit FINRA letter 5/16/18, #10 Exhibit Award, #11 Exhibit FINRA letter 7/3/18, #12 Exhibit WebCRD 8/9/18)(Berg, Jonathan) |
| Filing 15 MOTION to Confirm Arbitration . Document filed by Morgan Stanley Smith Barney FA Notes Holdings, LLC, Morgan Stanley Smith Barney, LLC. Return Date set for 9/14/2018 at 10:00 AM.(Berg, Jonathan) |
| Filing 14 RESPONSE to #1 Petition to Compel/Confirm/Modify/Stay/Vacate Arbitration,. Document filed by Morgan Stanley Smith Barney FA Notes Holdings, LLC, Morgan Stanley Smith Barney, LLC.(Berg, Jonathan) |
| Filing 13 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Morgan Stanley, Other Affiliate Morgan Stanley Capital Management, LLC, Other Affiliate Morgan Stanley Domestic Holdings, Inc., Other Affiliate Mitsubishi UFJ Financial Group, Inc., 7-1 Marunouchi 2-chrome, Chiyoda-ku, Tokyo 100-8330 for Morgan Stanley Smith Barney FA Notes Holdings, LLC, Morgan Stanley Smith Barney, LLC. Document filed by Morgan Stanley Smith Barney FA Notes Holdings, LLC, Morgan Stanley Smith Barney, LLC.(Berg, Jonathan) |
| Filing 12 AFFIDAVIT OF SERVICE of Summons and Petition to Compel/Confirm/Modify/Stay/Vacate Arbitration,. Service was accepted by Nora Dindyal. Document filed by Richard A. Williamson. (Brinen, Joshua) |
| Filing 11 AFFIDAVIT OF SERVICE of Summons and Petition to Compel/Confirm/Modify/Stay/Vacate Arbitration,. Morgan Stanley Smith Barney FA Notes Holdings, LLC served on 8/8/2018, answer due 8/29/2018. Service was accepted by Amy McLaren. Document filed by Richard A. Williamson. (Brinen, Joshua) |
| Filing 10 LETTER addressed to Judge Paul G. Gardephe from Joshua D. Brinen dated 8/10/2018 re: Courtesy Copy of Verified Petition to Vacate Arbitration Award. Document filed by Richard A. Williamson.(Brinen, Joshua) |
| Filing 9 ELECTRONIC SUMMONS ISSUED as to Morgan Stanley Smith Barney FA Notes Holdings, LLC. (pne) |
| Filing 8 ELECTRONIC SUMMONS ISSUED as to Morgan Stanley Smith Barney, LLC. (pne) |
| ***NOTICE TO ATTORNEY REGARDING CIVIL CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Joshua David Brinen. The following case opening statistical information was erroneously selected/entered: County code New York. The following correction has been made to your case entry: the County code has been modified to XX Out of State. (pne) |
| Case Designated ECF. (pne) |
| Magistrate Judge Henry B. Pitman is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #http://nysd.uscourts.gov/forms.php. (pne) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Paul G. Gardephe. Please download and review the Individual Practices of the assigned District Judge, located at #http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #http://nysd.uscourts.gov/ecf_filing.php. (pne) |
| Filing 7 AFFIDAVIT of Richard A. Williamson in Support re: #3 Memorandum of Law in Support, #1 Petition to Compel/Confirm/Modify/Stay/Vacate Arbitration, #2 Notice (Other). Document filed by Richard A. Williamson. (Attachments: #1 Exhibit Promissory Note, #2 Exhibit email attempting access, #3 Exhibit email attempting access, #4 Exhibit email attempting access)(Brinen, Joshua) |
| Filing 6 REQUEST FOR ISSUANCE OF SUMMONS as to Morgan Stanley Smith Barney FA Notes Holdings, LLC, re: #1 Petition to Compel/Confirm/Modify/Stay/Vacate Arbitration,. Document filed by Richard A. Williamson. (Brinen, Joshua) |
| Filing 5 REQUEST FOR ISSUANCE OF SUMMONS as to Morgan Stanley Smith Barney, LLC, re: #1 Petition to Compel/Confirm/Modify/Stay/Vacate Arbitration,. Document filed by Richard A. Williamson. (Brinen, Joshua) |
| Filing 4 CIVIL COVER SHEET filed. (Brinen, Joshua) |
| Filing 3 MEMORANDUM OF LAW in Support re: #1 Petition to Compel/Confirm/Modify/Stay/Vacate Arbitration, #2 Notice (Other) . Document filed by Richard A. Williamson. (Attachments: #1 Exhibit Award, #2 Exhibit Promissory Note, #3 Exhibit e-mail requesting access, #4 Exhibit e-mail requesting access, #5 Exhibit e-mail requesting access, #6 Exhibit e-mail delivering Award, #7 Exhibit FINRA Notice, #8 Exhibit Other Award Properly Served)(Brinen, Joshua) |
| Filing 2 NOTICE of PETItion to Vacate the Arbitration Award re: #1 Petition to Compel/Confirm/Modify/Stay/Vacate Arbitration,. Document filed by Richard A. Williamson. (Brinen, Joshua) |
| Filing 1 PETITION TO VACATE ARBITRATION. (Filing Fee $ 400.00, Receipt Number 0208-15402386).Document filed by Richard A. Williamson. (Attachments: #1 Exhibit Promissory Note, #2 Exhibit e-mail requesting access, #3 Exhibit e-mail requesting access, #4 Exhibit e-mail requesting access, #5 Exhibit e-mail announcing award, #6 Exhibit Award, #7 Exhibit Notice from FINRA)(Brinen, Joshua) |
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