Barthole v. Forte Capital Group Inc. et al
| Daniel Barthole |
| National Securities Corporation and Forte Capital Group Inc. |
| 1:2020cv00536 |
| January 21, 2020 |
| US District Court for the Southern District of New York |
| Analisa Torres |
| Labor: Fair Standards |
| 29 U.S.C. § 201 |
| Plaintiff |
Docket Report
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Filing 42
ORDER. the Court finds the revised settlement fair and reasonable, and the revised settlement is APPROVED. The Clerk of Court is directed to terminate this action with prejudice. SO ORDERED. Forte Capital Group Inc. and National Securities Corporation terminated. (Signed by Judge Analisa Torres on 4/28/2021) (rjm)
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| Filing 41 JOINT LETTER addressed to Judge Analisa Torres from Daniel S. Braverman and Amy J. Traub dated April 27, 2021 re: Submission of the Parties' Revised Settlement Agreement. Document filed by Forte Capital Group Inc., National Securities Corporation. (Attachments: #1 Exhibit A-Revised Settlement Agreement).(Traub, Amy) |
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Filing 40
ORDER re: #36 Letter, filed by Forte Capital Group Inc., National Securities Corporation. The parties' motion for settlement approval is DENIED. By May 3, 2021, the parties are directed to file a revised settlement agreement in accordance with this order. SO ORDERED. (Signed by Judge Analisa Torres on 4/19/2021) (kv)
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Filing 39
STIPULATION OF DISMISSAL WITH PREJUDICE AS TO COUNTS III - VIII OF PLAINTIFF'S COMPLAINT: Pursuant to Rule -4l(a)(l)(A)(ii) of the Federal Rules of Civil Procedure, Plaintiff Daniel Barthole ("Plaintiff") and Defendant National Securities Corporation and Forte Capital Group Inc.("Defendants") hereby stipulate to the dismissal with prejudice as to Counts Three, Four, Five, Six, Seven, and Eight asserted by Plaintiff against Defendants in the Complaint filed in this action (ECF No. 1), with each Party to bear its own costs and attorneys fees. SO ORDERED. (Signed by Judge Analisa Torres on 1/4/2021) (kv)
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| ***NOTICE TO COURT REGARDING STIPULATION OF VOLUNTARY DISMISSAL Document No. #38 Stipulation of Voluntary Dismissal was reviewed and referred to Judge Analisa Torres for approval for the following reason(s): Dismissal is to Counts III-VIII. (km) |
| Filing 38 STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) All Parties and without costs pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Daniel Barthole. Proposed document to be reviewed and processed by Clerk's Office staff (No action required by chambers)...(Braverman, Daniel) |
| Filing 37 STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) All Parties and without costs pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Daniel Barthole. Proposed document to be reviewed and processed by Clerk's Office staff (No action required by chambers)...(Braverman, Daniel) |
| ***NOTICE TO COURT REGARDING STIPULATION OF VOLUNTARY DISMISSAL Document No. #37 Stipulation of Voluntary Dismissal was reviewed and referred to Judge Analisa Torres for approval for the following reason(s): dismissal is to counts III-VII. (km) |
| Filing 36 JOINT LETTER addressed to Judge Analisa Torres from Saima Z. Sheikh dated December 21, 2020 re: Joint Letter Motion to Approve Settlement. Document filed by Forte Capital Group Inc., National Securities Corporation. (Attachments: #1 Exhibit A- Settlement Agreement, #2 Exhibit B- Plaintiffs Attorneys Billing Records).(Sheikh, Saima) |
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Filing 35
ORDER: The Court has been advised that the parties have reached a settlement in this Fair Labor Standards Act (FLSA) case. ECF No. 34. This action shall not be dismissed with prejudice unless the settlement agreement has been approved by the Court or the Department of Labor (DOL). See Cheeks v. Freeport Pancake House, Inc., 796 F.3d 199, 206 (2d Cir. 2015). Accordingly, to the extent the parties seek dismissal with prejudice, they must either file a joint letter motion requesting that the Court approve the settlement agreement or, alternatively, provide documentation of the approval by DOL. Any letter motion, along with the settlement agreement, must be filed on the public docket by December 21, 2020. The letter motion must explain why the proposed settlement is fair and reasonable and should discuss, at a minimum, the following factors: (1) the plaintiff's range of possible recovery; (2) the extent to which the settlement will enable the parties to avoid anticipated burdens and expenses in establishing their respective claims and defenses; (3) the seriousness of the litigation risks faced by the parties; (4) whether the settlement agreement is the product of arm's-length bargaining between experienced counsel; and (5) the possibility of fraud or collusion. Wolinsky v. Scholastic Inc., 900 F. Supp. 2d 332, 335 (S.D.N.Y. 2012) (quoting Medley v. Am. Cancer Soc'y, No. 10 Civ. 3214, 2010 WL 3000028, at *1 (S.D.N.Y. July 23, 2010)). The letter must also address whether there is a bona fide dispute as to the number of hours worked or the amount of compensation due and how much of the proposed settlement plaintiff's attorney shall be seeking as fees. See Cheeks, 796 F.3d at 202, 207. Any request for attorneys' fees must be accompanied by supporting documentation. In this circuit, a proper fee request 'entails submitting contemporaneous billing records documenting, for each attorney, the date, the hours expended, and the nature of the work done.' Lopez v. Nights of Cabiria, LLC, 96 F. Supp. 3d 170, 181 (S.D.N.Y. 2015) (quoting Wolinsky, 900 F. Supp. 2d at 336). Absent special circumstances, the Court will not approve any settlement agreement that is filed under seal or in redacted form. See id. at 177 n. 44. In addition, absent compelling circumstances, the Court will not approve settlement agreements containing sweeping non-disclosure provisions, see id. at 17980; Flood v. Carlson Rests. Inc., No. 14 Civ. 2740, 2015 WL 4111668, at *2 (S.D.N.Y. July 6, 2015), or broad releases waiving claims having no relation to FLSA issues, see Flood, 2015 WL 4111668, at *2. Any pending motions are moot. All conferences are vacated. (Signed by Judge Analisa Torres on 11/19/2020) (nb)
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| Filing 34 LETTER addressed to Judge Analisa Torres from Saima Z. Sheikh dated November 19, 2020 re: Settlement. Document filed by Forte Capital Group Inc., National Securities Corporation..(Sheikh, Saima) |
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Filing 33
CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a magistrate judge, including motions and trial. 28 U.S.C. 636(c). This case is to be tried to a jury. Depositions to be completed by the close of discovery. All expert discovery shall be completed no later than 45 days after the completion of fact discovery. Counsel for the parties have conferred and their present best estimate of the length of trial is: The Parties agree that this cannot be determined at this stage. Fact Discovery due by 5/17/2021. Case Management Conference set for 6/2/2021 at 10:20 AM before Judge Analisa Torres. (Signed by Judge Analisa Torres on 11/18/2020) (kv)
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| Minute Entry for proceedings held before Judge Analisa Torres: Initial Pretrial Conference held on 11/18/2020. (ap) |
| Filing 32 LETTER addressed to Judge Analisa Torres from Sean W. Higgins dated November 11, 2020 re: Joint Letter re: proposed case management plan. Document filed by Daniel Barthole. (Attachments: #1 (Proposed) Case Management Plan).(Higgins, Sean) |
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Filing 31
ORDER granting #30 Letter Motion to Adjourn Conference. GRANTED. The initial pretrial conference scheduled for November 9, 2020, is ADJOURNED to November 18, 2020, at 11:00 a.m. By November 11, 2020, the parties shall submit their joint letter and proposed case management plan. SO ORDERED. Initial Conference set for 11/18/2020 at 11:00 AM before Judge Analisa Torres. (Signed by Judge Analisa Torres on 11/2/2020) (kv)
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| Filing 30 LETTER MOTION to Adjourn Conference and Deadline to Submit Joint Letter and Proposed Case Management Plan and Scheduling Order addressed to Judge Analisa Torres from Amy J. Traub dated October 30, 2020. Document filed by Forte Capital Group Inc., National Securities Corporation..(Traub, Amy) |
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Filing 29
INITIAL PRETRIAL CONFERENCE ORDER: Initial Conference set for 11/9/2020 at 10:20 AM before Judge Analisa Torres. (Signed by Judge Analisa Torres on 10/26/2020) (nb)
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| Minute Entry Mediation Conference held on 10/7/2020. Mediation Status due by 11/6/2020. (rpr) |
| MEDIATION CONFERENCE SCHEDULED First Mediation Conference scheduled for 10/7/2020 at 10:00 AM through video conference.(ah) |
| NOTICE OF MEDIATOR ASSIGNMENT - Notice of assignment of mediator. Mediator Schedule due by 8/20/2020..(rpr) |
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Filing 27
ORDER withdrawing #23 Letter Motion for Leave to File Document; granting #26 Motion to Withdraw #23 LETTER MOTION for Leave to File motion for equitable tolling of statute of limitations addressed to Judge Analisa Torres from Daniel S. Braverman dated June 25, 2020. GRANTED. Plaintiff's request to withdraw his pre-motion letter, ECF No. 23, without prejudice, is GRANTED. The Clerk of Court is directed to terminate the motions at ECF Nos. 23 and 26. SO ORDERED. (Signed by Judge Analisa Torres on 7/8/2020) (kv)
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| Filing 26 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION to Withdraw #23 LETTER MOTION for Leave to File motion for equitable tolling of statute of limitations addressed to Judge Analisa Torres from Daniel S. Braverman dated June 25, 2020. . Document filed by Daniel Barthole..(Higgins, Sean) Modified on 7/27/2020 (lb). |
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Filing 25
ORDER granting #24 Letter Motion for Extension of Time to File Response/Reply. GRANTED. By July 9, 2020, Defendants shall file their response to Plaintiff's pre-motion letter. SO ORDERED. Responses due by 7/9/2020 (Signed by Judge Analisa Torres on 7/1/2020) (kv)
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| Filing 24 LETTER MOTION for Extension of Time to File Response/Reply to Plaintiff's Request for a Pre-Motion Conference dated June 25, 2020 addressed to Judge Analisa Torres from Saima Z. Sheikh dated June 30, 2020. Document filed by Forte Capital Group Inc., National Securities Corporation..(Sheikh, Saima) |
| Filing 23 LETTER MOTION for Leave to File motion for equitable tolling of statute of limitations addressed to Judge Analisa Torres from Daniel S. Braverman dated June 25, 2020. Document filed by Daniel Barthole..(Braverman, Daniel) |
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Filing 22
ORDER: In order to allow mediation to take place, see ECF No. 20, it is ORDERED that the initial pretrial conference scheduled for June 25, 2020, and corresponding date for submitting a joint letter and proposed case management plan, are ADJOURNED sine die. (Signed by Judge Analisa Torres on 6/17/2020) (rro)
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| Filing 21 LETTER addressed to Judge Analisa Torres from Sean W. Higgins dated June 17, 2020 re: to confirm re-scheduling of case management conference after mediation. Document filed by Daniel Barthole..(Higgins, Sean) |
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Filing 20
MEDIATION REFERRAL ORDER FOR CASES FILED UNDER THE FAIR LABOR STANDARDS ACT 29 U.S.C. Sec. 201 et seq. This case, involving claims under the Fair Labor Standards Act (FLSA), 29 U.S.C. Sec. 201 et seq., has been assigned to this Court for all purposes. In the Courts experience, cases involving FLSA claims often benefit from early mediation. To that end, prior to a Rule 16(b) case management conference the Court is referring this case to the Mediation Office for settlement purposes under Local Civil Rule 83.9. To facilitate mediation the parties shall, within four weeks of this Order, confer and provide the items set forth in this Order. Mediator to be Assigned by 6/29/2020. (Signed by Judge Analisa Torres on 12/10/2019) (rpr)
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| Filing 19 ANSWER to #1 Complaint,. Document filed by National Securities Corporation..(Traub, Amy) |
| Filing 18 ANSWER to #1 Complaint,. Document filed by Forte Capital Group Inc...(Traub, Amy) |
| Filing 17 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent National Holdings Corporation for National Securities Corporation. Document filed by National Securities Corporation..(Traub, Amy) |
| Filing 16 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Forte Capital Group Inc...(Traub, Amy) |
| Filing 15 NOTICE OF APPEARANCE by Saima Zuberi Sheikh on behalf of Forte Capital Group Inc., National Securities Corporation..(Sheikh, Saima) |
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Filing 14
ORDER granting #13 Letter Motion to Adjourn Conference. GRANTED. The initial pretrial conference scheduled for May 21, 2020, is ADJOURNED to June 25, 2020, at 10:40 a.m. By June 18, 2020, the parties shall submit their joint letter and proposed case management plan. Initial Conference set for 6/25/2020 at 10:40 AM before Judge Analisa Torres. (Signed by Judge Analisa Torres on 5/7/2020) (cf)
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| Filing 13 LETTER MOTION to Adjourn Conference Scheduled for May 21, 2020 addressed to Judge Analisa Torres from Amy J. Traub dated May 7, 2020. Document filed by Forte Capital Group Inc., National Securities Corporation..(Traub, Amy) |
| Filing 12 WAIVER OF SERVICE RETURNED EXECUTED. National Securities Corporation waiver sent on 4/16/2020, answer due 6/15/2020. Document filed by Daniel Barthole..(Higgins, Sean) |
| Filing 11 WAIVER OF SERVICE RETURNED EXECUTED. Forte Capital Group Inc. waiver sent on 4/16/2020, answer due 6/15/2020. Document filed by Daniel Barthole..(Higgins, Sean) |
| Filing 10 NOTICE OF APPEARANCE by Daniel Sean Braverman on behalf of Daniel Barthole..(Braverman, Daniel) |
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Filing 9
ORDER: To conserve resources, to promote judicial efficiency, and in an effort to achieve a faster disposition of this matter, it is hereby ORDERED that the parties discuss whether they are willing to consent, under 28 U.S.C. 636(c), to conducting all further proceedings before the assigned Magistrate Judge. If all parties consent to proceed before the Magistrate Judge, counsel for Defendants shall, by May 14, 2020, email a fully executed Notice, Consent, and Reference of a Civil Action to a Magistrate Judge form, available at https://nysd.uscomis.gov/node/754 and attached to this order, to Orders_and_Judgments@nysd.uscomis.gov. (As further set forth in this Order.) (Signed by Judge Analisa Torres on 1/23/2020) (cf)
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Filing 8
INITIAL PRETRIAL CONFERENCE ORDER: Initial Conference set for 5/21/2020 at 11:40 AM in Courtroom 15D, 500 Pearl Street, New York, NY 10007 before Judge Analisa Torres. (As further set forth in this Order.) (Signed by Judge Analisa Torres on 1/23/2020) (cf)
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| Filing 7 ELECTRONIC SUMMONS ISSUED as to National Securities Corporation. (pc) |
| Filing 6 ELECTRONIC SUMMONS ISSUED as to Forte Capital Group Inc.. (pc) |
| Filing 5 NOTICE OF APPEARANCE by Sean William Higgins on behalf of Daniel Barthole. (Higgins, Sean) |
| Magistrate Judge Robert W. Lehrburger 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 OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Analisa Torres. 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) |
| Case Designated ECF. (pc) |
| Filing 4 REQUEST FOR ISSUANCE OF SUMMONS as to National Securities Corporation, re: #1 Complaint,. Document filed by Daniel Barthole. (Braverman, Daniel) |
| Filing 3 REQUEST FOR ISSUANCE OF SUMMONS as to Forte Capital Group Inc., re: #1 Complaint,. Document filed by Daniel Barthole. (Braverman, Daniel) |
| Filing 2 CIVIL COVER SHEET filed. (Braverman, Daniel) |
| Filing 1 COMPLAINT against Forte Capital Group Inc., National Securities Corporation. (Filing Fee $ 400.00, Receipt Number ANYSDC-18555981)Document filed by Daniel Barthole. (Attachments: #1 Exhibit FLSA Consent to Join Form - Daniel Barthole)(Braverman, Daniel) |
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