West v. Morgan Stanley Smith Barney LLC
Plaintiff: Carrie S West and Carrie West
Defendant: MORGAN STANLEY SMITH BARNEY LLC, and Morgan Stanley Smith Barney LLC
Case Number: 1:2020cv03370
Filed: April 30, 2020
Court: US District Court for the Southern District of New York
Presiding Judge: Paul A Crotty
Nature of Suit: Other Statutes: Arbitration
Cause of Action: 09:0010
Jury Demanded By: None
Docket Report

This docket was last retrieved on June 12, 2020. A more recent docket listing may be available from PACER.

Date Filed Document Text
June 12, 2020 Filing 12 DECLARATION of Ira N. Glauber, Esquire in Opposition re: #11 Memorandum of Law in Opposition, #10 CROSS MOTION --- Notice of Cross-Petition to Confirm Arbitration Award re: #1 Petition to Compel/Confirm/Modify/Stay/Vacate Arbitration, .. Document filed by Morgan Stanley Smith Barney LLC. (Attachments: #1 Exhibit A - Statement of Claim, #2 Exhibit B - 12/5/2019 FINRA Claim Notification Letter, #3 Exhibit C - 12/5/2019 FINRA Letter re: Rule 13806, #4 Exhibit D - 1/27/20 FINRA Overdue Notice Letter, #5 Exhibit E - 1/27/20 FINRA Letter re: Arbitrators, #6 Exhibit F - Arbitrator List, Ranking Form, and Disclosure Report, #7 Exhibit G - 2/5/2020 FINRA Letter, #8 Exhibit H - 2/20/2020 FINRA Letter and Case Information Sheet, #9 Exhibit I - 2/21/2020 Arbitrator Disclosure Checklist, #10 Exhibit J - Award and 3/3/2020 FINRA Transmittal Letter, #11 Exhibit K - 4/3/2020 FINRA Letter re: Suspension, #12 Exhibit L - 11/19/2019 Letter from The Henneman Firm to West).(Glauber, Ira)
June 12, 2020 Filing 11 MEMORANDUM OF LAW in Opposition re: #1 Petition to Compel/Confirm/Modify/Stay/Vacate Arbitration, and in Support of Cross-Petition to Confirm Arbitration Award. Document filed by Morgan Stanley Smith Barney LLC..(Glauber, Ira)
June 12, 2020 Filing 10 CROSS MOTION --- Notice of Cross-Petition to Confirm Arbitration Award re: #1 Petition to Compel/Confirm/Modify/Stay/Vacate Arbitration, . Document filed by Morgan Stanley Smith Barney LLC. Return Date set for 7/27/2020 at 10:00 AM..(Glauber, Ira)
June 12, 2020 Filing 9 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Morgan Stanley for Morgan Stanley Smith Barney LLC. Document filed by Morgan Stanley Smith Barney LLC..(Glauber, Ira)
May 18, 2020 Opinion or Order Filing 8 STIPULATION: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned as follows: 1. The time for Respondent Morgan Stanley Smith Barney LLC ("Morgan Stanley") to file (i) its Opposition to Petitioner's Petition to vacate the arbitration award that is the subject of this action, and (ii) Morgan Stanley's Cross-Petition to confirm the arbitration award, shall be extended to June 12, 2020; 2. The time for Petitioner Carrie West to file her Opposition to Morgan Stanley's Cross-Petition to confirm the arbitration award shall be July 13, 2020; 3. The time for Morgan Stanley to file its Reply on the Cross-Petition to confirm the arbitration award shall be July 27, 2020, whereupon the Petition and Cross-Petition shall be deemed fully submitted, subject to the Court scheduling oral argument if it so wishes. SO ORDERED. (Signed by Judge Paul A. Crotty on 5/18/2020) ( Responses due by 7/13/2020, Replies due by 7/27/2020.) (ks)
May 15, 2020 Filing 7 PROPOSED STIPULATION AND ORDER. Document filed by Morgan Stanley Smith Barney LLC..(Glauber, Ira)
May 11, 2020 Filing 6 NOTICE OF APPEARANCE by Ira N. Glauber on behalf of Morgan Stanley Smith Barney LLC..(Glauber, Ira)
May 11, 2020 Filing 5 WAIVER OF SERVICE RETURNED EXECUTED. Morgan Stanley Smith Barney LLC waiver sent on 5/11/2020, answer due 7/10/2020. Document filed by Carrie West. (Attachments: #1 Supplement Notice and Request to Waive Service).(Warren, Christopher)
May 1, 2020 Filing 4 CIVIL COVER SHEET filed..(Warren, Christopher)
May 1, 2020 Filing 3 ELECTRONIC SUMMONS ISSUED as to Morgan Stanley Smith Barney LLC..(jgo)
May 1, 2020 Case Designated ECF. (jgo)
May 1, 2020 Magistrate Judge Sarah Netburn 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. (jgo)
May 1, 2020 CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Paul A. Crotty. 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..(jgo)
May 1, 2020 ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Christopher Donald Warren. The party information for the following party/parties has been modified: Carrie S West; MORGAN STANLEY SMITH BARNEY LLC,. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error; party name was entered in all caps;. (jgo)
May 1, 2020 ***NOTICE TO ATTORNEY REGARDING CIVIL CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Christopher Donald Warren. The following case opening statistical information was erroneously selected/entered: County code Albany;. The following correction(s) have been made to your case entry: the County code has been modified to XX Out of State;. (jgo)
May 1, 2020 ***NOTICE TO ATTORNEY REGARDING DEFICIENT CIVIL COVER SHEET. Notice to attorney Christopher Donald Warren to RE-FILE Civil Cover Sheet,. The filing is deficient for the following reason(s): Courthouse Assignment code - no selection. Re-file the document using the event type Civil Cover Sheet found under the event list Other Documents and attach the correct PDF. Use civil cover sheet issued by S.D.N.Y. dated June 2017. The S.D.N.Y. Civil Cover Sheet dated June 2017 is located at#http://nysd.uscourts.gov/file/forms/civil-cover-sheet.. (jgo)
May 1, 2020 ***NOTICE TO ATTORNEY TO ELECTRONICALLY FILE CIVIL COVER SHEET. Notice to Attorney Christopher Donald Warren. Attorney must electronically file the Civil Cover Sheet separately. Use the event type Civil Cover Sheet found under the event list Other Documents. (jgo)
April 30, 2020 Filing 2 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 Carrie S West. (Attachments: #1 Civil Cover Sheet Civil Cover Sheet).(Warren, Christopher)
April 30, 2020 Filing 1 PETITION TO VACATE ARBITRATION. (Filing Fee $ 400.00, Receipt Number ANYSDC-19650708).Document filed by Carrie S West. (Attachments: #1 Supplement Notice of Petition, #2 Affidavit Warren Declaration, #3 Supplement Memorandum of Law, #4 Exhibit FINRA Award, #5 Exhibit Arbitrator Profile, #6 Exhibit Arbitrator Oath, #7 Exhibit FINRA Rule 13408, #8 Exhibit FINRA Arbitrator's Guide).(Warren, Christopher)

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Plaintiff: Carrie S West
Represented By: Christopher Donald Warren
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Plaintiff: Carrie West
Represented By: Christopher D. Warren
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Defendant: MORGAN STANLEY SMITH BARNEY LLC,
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Defendant: Morgan Stanley Smith Barney LLC
Represented By: Ira N. Glauber
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