Katalyst Securities LLC v. Marker Therapeutics, Inc.
| Katalyst Securities LLC |
| Marker Therapeutics, Inc. |
| 1:2021cv08005 |
| September 27, 2021 |
| 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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Filing 15
DECLARATION of Adam B. Oppenheim in Opposition re: #11 MOTION to Vacate Arbitration Award.. Document filed by Katalyst Securities LLC. (Attachments: #1 Exhibit 1 - PAA, #2 Exhibit 2 - Katalyst Statement of Claim, #3 Exhibit 3 - Marker Statement of Answer, #4 Exhibit 4 - Submission Agreement, #5 Exhibit 5 - Petitioner's Letter responsive to Respondent's Statement of Answer, #6 Exhibit 6 - IPHC and Panel Notice Letter, #7 Exhibit 7 - Panel Order, #8 Exhibit 8 - Panel Order re Jurisdictional Issues Raised During 9.25.2019 IPHC, #9 Exhibit 9 - Marker letter to Panel re MSJ, #10 Exhibit 10 - Panel Order re Respondent's Request for Leave to File Dispositive Motion, #11 Exhibit 11 - Marker Letter to Director and EVP Richard Berry on FINRA Arbitration Jurisdictional Issues, #12 Exhibit 12 - Decision re Respondent's Objection to Jurisdiction, #13 Exhibit 13 - Award, #14 Exhibit 14 - Petition to Confirm Arbitration Award, #15 Exhibit 15 - FINRA Rule 12409, #16 Exhibit 16 - FINRA Rule 13413, #17 Exhibit 17 - FINRA Rule 12200, #18 Exhibit 18 - Tr. at 363-366, #19 Exhibit 19 - Tr. at 1008-1011, #20 Exhibit 20 - Tr. at 1109-1111, #21 Exhibit 21 - Tr. at 874-879, #22 Exhibit 22 - Tr. at 854, #23 Exhibit 23 - Hoang Recording Transcript, #24 Exhibit 24 - Tr. at 425-426, #25 Exhibit 25 - Tr. at 1144-1148).(Oppenheim, Adam)
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Filing 14
MEMORANDUM OF LAW in Opposition re: #11 MOTION to Vacate Arbitration Award. . Document filed by Katalyst Securities LLC..(Oppenheim, Adam)
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Filing 13
DECLARATION of Eric Kuwana in Support re: #11 MOTION to Vacate Arbitration Award.. Document filed by Marker Therapeutics, Inc.. (Attachments: #1 Exhibit 2017 PAA, #2 Exhibit Proposed Amended 2017 PAA, #3 Exhibit FINRA Award, #4 Exhibit FINRA Order, #5 Exhibit Letter to FINRA Director, #6 Exhibit FINRA Response to Letter, #7 Exhibit FINRA Arbitration Overview).(Kuwana, Eric)
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Filing 12
MEMORANDUM OF LAW in Support re: #11 MOTION to Vacate Arbitration Award. . Document filed by Marker Therapeutics, Inc...(Kuwana, Eric)
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Filing 11
MOTION to Vacate Arbitration Award. Document filed by Marker Therapeutics, Inc...(Kuwana, Eric)
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Filing 10
ORDER: granting #7 Letter Motion for Extension of Time to File Response/Reply re #7 FIRST LETTER MOTION for Extension of Time to File Response/Reply as to #1 Notice of Removal. addressed to Judge Vernon S. Broderick from Eric Kuwana dated September 29, 2021. Accordingly, it is hereby: ORDERED that Respondent is directed to file any cross-motion for vacatur on or before October 22, 2021, Petitioner is directed to file its response on or before November 12, 2021, and Respondent is directed to file any reply memorandum on or before November 29, 2021. The Clerk's office is directed to terminate the open motion at Document 7. SO ORDERED. Responses due by 11/12/2021 Replies due by 11/29/2021. (Signed by Judge Vernon S. Broderick on 10/01/2021) (ama)
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Set/Reset Deadlines: Cross Motions due by 10/22/2021. (ama)
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Filing 9
ORDER:I am in receipt of Respondent's letter motion, dated September 29, 2021, for an extension of time to respond to Petitioner's Petition to Confirm and to file a cross-motion for vacatur. (Doc. 7.) In the motion, which sets out a proposed briefing schedule, Respondent represents that Petitioner failed to respond to Respondent's request for consent. Accordingly, it is hereby: ORDERED that Petitioner submit a letter on or before October 6, 2021, indicating whether or not it consents to Respondents letter motion at Document 7. SO ORDERED., ( Responses due by 10/6/2021) (Signed by Judge Vernon S. Broderick on 9/30/2021) (ama)
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Filing 8
LETTER addressed to Judge Vernon S. Broderick from Adam Oppenheim dated September 30, 2021 re: In response to the September 29, 2021 letter submitted by Respondent Marker Therapeutics, Inc. (Dkt. No. 7.). Document filed by Katalyst Securities LLC. (Attachments: #1 Exhibit 1 - 2021.09.28 Email from Andrew Brown re Notice of Removal, #2 Exhibit 2 - 2019.07.17 Marker Statement of Answer with Exhibits, #3 Exhibit 3 - 2019.09.25 Order IPHC, #4 Exhibit 4 - 2019.10.30 Order re Jurisdictional Issues Raised During 2019.09.25 IPHC, #5 Exhibit 5 - 2020.11.20 Marker Email to Panel re MSJ, #6 Exhibit 6 - 2020.11.23 Order re Respondent's Request for Leave to File Dispositive Motion, #7 Exhibit 7 - 2021.04.26 Email from Eric Kuwana re Letter to Director and EVP Richard Berry on FINRA Arbitration Jurisdictional Issues, #8 Exhibit 8 - 2021.04.26 Decision re Respondent's Objection to Jurisdiction, #9 Exhibit 9 - 2019.07.17 Submission Agreement).(Oppenheim, Adam)
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Filing 7
FIRST LETTER MOTION for Extension of Time to File Response/Reply as to #1 Notice of Removal, addressed to Judge Vernon S. Broderick from Eric Kuwana dated September 29, 2021. Document filed by Marker Therapeutics, Inc.. Return Date set for 10/6/2021 at 11:59 PM..(Kuwana, Eric)
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Filing 6
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Securities Operations Specialists Inc. for Katalyst Securities LLC. Document filed by Katalyst Securities LLC..(Oppenheim, Adam)
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Filing 5
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Marker Therapeutics, Inc...(Kuwana, Eric)
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Filing 4
NOTICE OF APPEARANCE by Daniel Barnett Grossman on behalf of Katalyst Securities LLC..(Grossman, Daniel)
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Filing 3
NOTICE OF APPEARANCE by Adam B. Oppenheim on behalf of Katalyst Securities LLC..(Oppenheim, Adam)
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***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Eric Alan Kuwana. The following case opening statistical information was erroneously selected/entered: Cause of Action code 9:9; County code New York;. The following correction(s) have been made to your case entry: the Cause of Action code has been modified to 28:1332; the County code has been modified to XX Out of State;. (pc)
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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)
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Case Designated ECF. (pc)
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Magistrate Judge Barbara C. Moses 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)
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Filing 2
CIVIL COVER SHEET filed..(Kuwana, Eric)
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Filing 1
NOTICE OF REMOVAL from Supreme Court, County of New York. Case Number: 655518/2021. (Filing Fee $ 402.00, Receipt Number ANYSDC-25112792).Document filed by Marker Therapeutics, Inc.. (Attachments: #1 Exhibit State Court Filings).(Kuwana, Eric)
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| Petitioner: Katalyst Securities LLC | |
| Represented By: | Adam B. Oppenheim |
| Represented By: | Daniel Barnett Grossman |
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| Respondent: Marker Therapeutics, Inc. | |
| Represented By: | Eric Alan Kuwana |
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