Fidelity Brokerage Services LLC v. Keating et al
| Fidelity Brokerage Services LLC |
| WealthPlan Advisors, LLC and Robert Keating |
| 1:2018cv10860 |
| November 20, 2018 |
| US District Court for the Southern District of New York |
| Jed S Rakoff |
| Other Statutory Actions |
| 28 U.S.C. ยง 1331 |
| None |
Docket Report
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This docket was last retrieved on December 4, 2018. A more recent docket listing may be available from PACER.
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Filing 11
ORDER FOR ADMISSION PRO HAC VICE granting #9 Motion for Susan Guerette to Appear Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 12/2/2018) (jca)
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Filing 10
STIPULATED PRELIMINARY INJUNCTION: Plaintiff Fidelity Brokerage Services LLC (Fidelity") and Defendants Robert Keating and WealthPlan Advisors LLC ("WPA") hereby stipulate to the following Preliminary Injunction pending arbitration of this dispute with the Financial Industry Regulatory Authority ("FINRA"): 1. All parties waive the necessity of a bond; 2. Defendant Keating and anyone acting in concert with him, including without limitation WPA, is/are preliminarily restrained and enjoined from: a. Using, disclosing, transmitting or continuing to possess for any purpose, the information contained in the records of Fidelity regarding those Fidelity customers whom Defendant Keating served or whose names became known to him while in the employ of Fidelity ("Fidelity Clients"), including, but not limited to, the names, addresses, and confidential financial information of those customers; and as further set forth in this order. (Signed by Judge Jed S. Rakoff on 12/2/2018) (jwh)
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| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #9 MOTION for Susan Guerette to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15979883. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) |
| Filing 9 MOTION for Susan Guerette to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15979883. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Fidelity Brokerage Services LLC. (Attachments: #1 Affidavit, #2 Exhibit A, #3 Text of Proposed Order)(Guerette, Susan) |
| ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Justin Warren Reiter for noncompliance with Section 14.2 of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 1 Complaint, 2 Civil Cover Sheet to: caseopenings@nysd.uscourts.gov. (pne) |
| Filing 8 PROPOSED STIPULATION AND ORDER. Document filed by Fidelity Brokerage Services LLC. (Reiter, Justin) |
| Filing 7 AFFIDAVIT OF SERVICE of Order to Show Cause for Preliminary Injunction and Temporary Restraining Order; Plaintiff's Motion and Memorandum of Law In Support of Its Motion for Expedited Discovery in aid of Preliminary Injunction Proceedings; Plaintiff's Memorandum of Law In Support of Its Motion for a Temporary Restraining Order and Preliminary Injunction with Exs. 1 & 2; Affidavit of Douglas Zarookian with Ex. A; Complaint; Plaintiff's Motion for a Temporary Restraining Order and Preliminary Injunction with Supporting Memorandum of Law served on Wealthplan Advisors LLC on November 21, 2018. Service was accepted by Jane Doe. Document filed by Fidelity Brokerage Services LLC. (Reiter, Justin) |
| Filing 6 AFFIDAVIT OF SERVICE of Order to Show Cause for Preliminary Injunction and Temporary Restraining Order; Plaintiff's Motion and Memorandum of Law In Support of Its Motion for Expedited Discovery in aid of Preliminary Injunction Proceedings; Plaintiff's Memorandum of Law In Support of Its Motion for a Temporary Restraining Order and Preliminary Injunction with Exs. 1 & 2; Affidavit of Douglas Zarookian with Ex. A; Complaint; Plaintiff's Motion for a Temporary Restraining Order and Preliminary Injunction with Supporting Memorandum of Law served on Robert Keating c/o Wealthplan Advisors LLC on November 21, 2018. Service was accepted by Jane Doe. Service was made by Mail. Document filed by Fidelity Brokerage Services LLC. (Reiter, Justin) |
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/27/2018. (Kotowski, Linda) |
| Filing 5 INJUNCTION BOND # 8252-18-82 in the amount of $ 10,000.00 posted by Fidelity Brokerage Services LLC. (dt) |
| Filing 4 NOTICE OF APPEARANCE by Louis Michael Lagalante on behalf of Robert Keating. (Lagalante, Louis) |
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Filing 3
ORDER TO SHOW CAUSE FOR PRELIMINARY INJUNCTION AND TEMPORARY RESTRAINING ORDER: filed by Fidelity Brokerage Services LLC. Defendant shall show cause as to why an order should not be issued pursuant to Rule 65 of the Federal Rules of Civil Procedure enjoining the Defendants during the pendency of this action, and as further set forth in this Order. This Order is effective immediately and requires the posting of an injunction bond in the amount of $10,000 prior to 11/27/2018.(Show Cause Hearing set for 12/3/2018 at 02:00 PM in Courtroom 14B, 500 Pearl Street, New York, NY 10007 before Judge Jed S. Rakoff, Replies due by 11/30/2018, Show Cause Response due by 11/28/2018.) (Signed by Judge Jed S. Rakoff on 11/26/2018) (jca) Transmission to Finance Unit (Cashiers) for processing.
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| Filing 2 CIVIL COVER SHEET filed. (pc) |
| Filing 1 COMPLAINT against Robert Keating, WealthPlan Advisors, LLC. (Filing Fee $ 400.00, Receipt Number 465401222966)Document filed by Fidelity Brokerage Services LLC.(pc) |
| SUMMONS ISSUED as to WealthPlan Advisors, LLC. (pc) |
| Case Designated ECF. (pc) |
| Magistrate Judge Kevin Nathaniel Fox 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. (pc) |
| SUMMONS ISSUED as to Robert Keating. (pc) |
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