Capital One Financial Corporation et al v. Hummer et al
| Capital One Investing, LLC and Capital One Financial Corporation |
| Jan Hummer, FINRA Regulation, Inc. and Financial Industry Regulatory Authority, Inc. |
| 1:2019cv11582 |
| December 18, 2019 |
| US District Court for the Southern District of New York |
| Vernon S Broderick |
| Other Statutes: Arbitration |
| 28 U.S.C. § 1332 |
| None |
Docket Report
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This docket was last retrieved on June 9, 2020. A more recent docket listing may be available from PACER.
| Document Text |
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| Filing 25 REPLY MEMORANDUM OF LAW in Support re: #13 MOTION to Dismiss Plaintiffs' Amended Complaint Pursuant to Federal Rules of Civil Procedure 12(b)(1)(3) and (6). . Document filed by Jan Hummer..(Maddox, Mark) |
| Filing 24 DECLARATION of Todd R. Brolin in Support re: #22 CROSS MOTION for Preliminary Injunction .. Document filed by Capital One Financial Corporation, Capital One Investing, LLC..(Steinlight, Stephen) |
| Filing 23 MEMORANDUM OF LAW in Support re: #22 CROSS MOTION for Preliminary Injunction . and in Opposition to Defendants' Motion to Dismiss. Document filed by Capital One Financial Corporation, Capital One Investing, LLC..(Steinlight, Stephen) |
| Filing 22 CROSS MOTION for Preliminary Injunction . Document filed by Capital One Financial Corporation, Capital One Investing, LLC..(Steinlight, Stephen) |
Filing 21
ORDER granting #20 Motion for Jonathan Stuart Hubbard to Appear Pro Hac Vice (HEREBY ORDERED by Judge Vernon S. Broderick)(Text Only Order) (msa)
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| Filing 20 MOTION for Jonathan Stuart Hubbard to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Capital One Financial Corporation, Capital One Investing, LLC. (Attachments: #1 Affidavit in Support of Motion for Pro Hac Vice, #2 Exhibit : Certificate of Good Standing from the Virginia Supreme Court, #3 Text of Proposed Order for Pro Hac Vice Admission)(Hubbard, Jon) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #20 MOTION for Jonathan Stuart Hubbard to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) |
| Filing 19 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Jonathan S. Hubbard to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18521460. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Capital One Financial Corporation, Capital One Investing, LLC. (Attachments: #1 Affidavit in Support of Motion for Pro Hac Vice Admission, #2 Exhibit : Certificate of Good Standing, #3 Text of Proposed Order Proposed Order for Pro Hac Vice Admission)(Hubbard, Jon) Modified on 1/16/2020 (aea). |
| >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #19 MOTION for Jonathan S. Hubbard to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18521460. Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): missing Certificate of Good Standing from SUPREME COURT OF VIRGINIA;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order. (aea) |
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Filing 18
ORDER granting #17 Motion for Mark Edward Maddox to Appear Pro Hac Vice (HEREBY ORDERED by Judge Vernon S. Broderick)(Text Only Order) (msa)
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| Filing 17 MOTION for Mark Edward Maddox to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jan Hummer. (Attachments: #1 Affidavit Affidavit of Mark E. Maddox, #2 Exhibit Certificate of Good Standing - Indiana, #3 Exhibit Certificate of Good Standing - Illinois, #4 Text of Proposed Order Proposed Order)(Maddox, Mark) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #17 MOTION for Mark Edward Maddox to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) |
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Filing 16
ORDER: Accordingly, it is hereby: ORDERED that Plaintiffs shall file any second amended complaint by January 27, 2020. It is unlikely that Plaintiffs will have a further opportunity to amend. IT IS FURTHER ORDERED that if no second amended complaint is filed, Plaintiffs shall serve any opposition to the motion to dismiss by February 5, 2020. Defendants reply, if any, shall be served by February 19, 2020. At the time any reply is served, the moving party shall supply Chambers with two courtesy copies of all motion papers pursuant to my Individual Rules by mailing or delivering them to the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, New York. (Amended Pleadings due by 1/27/2020.) (Signed by Judge Vernon S. Broderick on 1/7/2020) (rro)
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| Filing 15 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Mark Edward Maddox to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18429192. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jan Hummer. (Attachments: #1 Affidavit Affidavit of Mark E. Maddox, #2 Exhibit Certificate of Good Standing - Indiana, #3 Exhibit Certificate of Good Standing - Illinois, #4 Text of Proposed Order Text of Proposed Order)(Maddox, Mark) Modified on 1/6/2020 (bcu). |
| Filing 14 MEMORANDUM OF LAW in Support re: #13 MOTION to Dismiss Plaintiffs' Amended Complaint Pursuant to Federal Rules of Civil Procedure 12(b)(1)(3) and (6). . Document filed by Jan Hummer. (Caruso, Steven) |
| Filing 13 MOTION to Dismiss Plaintiffs' Amended Complaint Pursuant to Federal Rules of Civil Procedure 12(b)(1)(3) and (6). Document filed by Jan Hummer.(Caruso, Steven) |
| Filing 12 NOTICE OF APPEARANCE by Steven Bruce Caruso on behalf of Jan Hummer. (Caruso, Steven) |
| >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #15 MOTION for Mark Edward Maddox to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18429192. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of Illinois;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (bcu) |
| Filing 11 ANSWER to #2 Amended Complaint,. Document filed by FINRA Regulation, Inc., Financial Industry Regulatory Authority, Inc..(Reicher, Terri) |
| Filing 10 ELECTRONIC SUMMONS ISSUED as to FINRA Regulation, Inc.. (pc) |
| Filing 9 ELECTRONIC SUMMONS ISSUED as to Financial Industry Regulatory Authority, Inc.. (pc) |
| Filing 8 ELECTRONIC SUMMONS ISSUED as to Jan Hummer. (pc) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Vernon S. Broderick. Please download and review the Individual Practices of the assigned District Judge, located at #https://nysd.uscourts.gov/judges/district-judges. 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 #https://nysd.uscourts.gov/rules/ecf-related-instructions. (pc) |
| Magistrate Judge Gabriel W. Gorenstein 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: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (pc) |
| Case Designated ECF. (pc) |
| Filing 7 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Capital One Financial Corporation for Capital One Investing, LLC. Document filed by Capital One Financial Corporation, Capital One Investing, LLC.(Steinlight, Stephen) |
| Filing 6 REQUEST FOR ISSUANCE OF SUMMONS as to FINRA Regulation, Inc. f/k/a FINRA Dispute Resolution, Inc., re: #2 Amended Complaint,. Document filed by Capital One Financial Corporation, Capital One Investing, LLC. (Steinlight, Stephen) |
| Filing 5 REQUEST FOR ISSUANCE OF SUMMONS as to Financial Industry Regulatory Authority, Inc., re: #2 Amended Complaint,. Document filed by Capital One Financial Corporation, Capital One Investing, LLC. (Steinlight, Stephen) |
| Filing 4 REQUEST FOR ISSUANCE OF SUMMONS as to Jan Hummer, re: #2 Amended Complaint,. Document filed by Capital One Financial Corporation, Capital One Investing, LLC. (Steinlight, Stephen) |
| Filing 3 CIVIL COVER SHEET filed. (Steinlight, Stephen) |
| Filing 2 AMENDED COMPLAINT amending #1 Complaint, against FINRA Regulation, Inc., Financial Industry Regulatory Authority, Inc., Jan Hummer.Document filed by Capital One Financial Corporation, Capital One Investing, LLC. Related document: #1 Complaint,. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Steinlight, Stephen) |
| Filing 1 COMPLAINT against FINRA Regulation, Inc., Financial Industry Regulatory Authority, Inc., Jan Hummer. (Filing Fee $ 400.00, Receipt Number ANYSDC-18310917)Document filed by Capital One Financial Corporation, Capital One Investing, LLC.(Steinlight, Stephen) |
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