Rosen v. UBS Financial Services Inc. et al
| Emily Rosen |
| UBS Financial Services Inc., Alight Solutions LLC, Michael O'Connor individually and as plan Administrator for the UBS 401(K) Plan, Christopher Ferrara and Frank Sabia, Michael O'Connor, Christopher Ferrara and Frank Sabia |
| 1:2022cv03880 |
| May 12, 2022 |
| US District Court for the Southern District of New York |
| Stewart D Aaron |
| John G Koeltl |
| Labor: E.R.I.S.A. |
| 28 U.S.C. § 1331 Fed. Question |
| None |
Docket Report
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This docket was last retrieved on September 29, 2023. A more recent docket listing may be available from PACER.
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Filing 17
ORDER FOR ADMISSION PRO HAC VICE OF ANTHONY J. BORRELLI, ESQ. granting #15 Motion for Anthony J. Borrelli, Esq. to Appear Pro Hac Vice. (Signed by Judge John G. Koeltl on 7/1/2022) (vfr)
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Filing 16
ORDER SCHEDULING TELEPHONIC SETTLEMENT CONFERENCE: A settlement conference is scheduled before Magistrate Judge Stewart Aaron on Tuesday, July 12, 2022, at 2:30 p.m. The settlement shall proceed by telephone unless the parties advise the Court that they have access to and prefer proceeding by alternative remote means, such as by video. The Court will provide dial-in information to the parties by email prior to the conference. The parties must comply with the Settlement Conference Procedures for Magistrate Judge Stewart D. Aaron, available at https://nysd.uscourts.gov/hon-stewart-d-aaron. SO ORDERED. Telephone Conference set for 7/12/2022 at 02:30 PM before Magistrate Judge Stewart D. Aaron. (Signed by Magistrate Judge Stewart D. Aaron on 7/1/2022) (kv)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #15 THIRD MOTION for A.J. BORRELLI to Appear Pro Hac Vice ANYSDC-26172930. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sgz)
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Filing 15
THIRD MOTION for A.J. BORRELLI to Appear Pro Hac Vice ANYSDC-26172930. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Alight Solutions LLC, Christopher Ferrara, Michael O'Connor (Individually ), Michael O'Connor (and as Plan Administrator for the UBS 401(k) Plan), Frank Sabia, UBS Financial Services Inc.. Return Date set for 7/8/2022 at 10:00 AM. (Attachments: #1 Affidavit Affidavit of A.J. Borrelli, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order Proposed Order).(Berlajolli, Labinot)
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>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #14 AMENDED MOTION for A.J. BORRELLI to Appear Pro Hac Vice ANYSDC-26172930. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): Ink Signature Needed When Not Using Own Pacer Account;. Re-file the motion as a 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. (sgz)
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Filing 14
FILING ERROR - DEFICIENT DOCKET ENTRY - AMENDED MOTION for A.J. BORRELLI to Appear Pro Hac Vice ANYSDC-26172930. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Alight Solutions LLC, Christopher Ferrara, Michael O'Connor (Individually ), Michael O'Connor (and as Plan Administrator for the UBS 401(k) Plan), Frank Sabia, UBS Financial Services Inc.. Return Date set for 6/30/2022 at 09:00 AM. (Attachments: #1 Affidavit Affidavit of A.J. Borrelli, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order Proposed Order).(Berlajolli, Labinot) Modified on 6/24/2022 (sgz).
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Set/Reset Deadlines: Deposition due by 12/15/2022. Expert Discovery due by 12/15/2022. (ks)
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Filing 13
ORDER OF REFERENCE TO A MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Settlement. Referred to Magistrate Judge Stewart D. Aaron. SO ORDERED. (Signed by Judge John G. Koeltl on 6/20/2022) (ks)
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Filing 12
REPORT OF RULE 26(f) CONFERENCE AND SCHEDULING ORDER: This case in not to be tried by a jury. Expert discovery including Depositions due by 12/15/2022. Fact Discovery due by 10/7/2022. The parties shall be ready for trial in March 2023. The parties anticipate that the trial of this case will require 4 days. SO ORDERED. (Signed by Judge John G. Koeltl on 6/20/2022) (ks) Modified on 6/27/2022 (ks).
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Filing 11
NOTICE OF APPEARANCE by Mark Julio Alonso on behalf of Emily Rosen..(Alonso, Mark)
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Filing 10
PROPOSED CASE MANAGEMENT PLAN. Document filed by Alight Solutions LLC, Christopher Ferrara, Michael O'Connor (Individually ), Michael O'Connor (and as Plan Administrator for the UBS 401(k) Plan), Frank Sabia, UBS Financial Services Inc...(Berlajolli, Labinot)
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Minute Entry for proceedings held before Judge John G. Koeltl: Initial Conference set for 7/21/2022 at 12:30 PM before Judge John G. Koeltl. Dial-in: 888 363-4749, with access code 8140049. (Fletcher, Donnie)
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Filing 9
ORDER: The parties are directed to submit a Rule 26(f) report by June 3, 2022. SO ORDERED. (Signed by Judge John G. Koeltl on 5/20/2022) (jca)
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>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #7 FIRST MOTION for A.J. BORRELLI to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26172930. Motion and supporting papers to be reviewed by Clerk's Office staff. The filing is deficient for the following reason(s): expired Certificate of Good Standing from Supreme Court of New Jersey; and the Affidavit is not Notarized. Re-file the motion as a 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 8
ANSWER to Complaint. Document filed by Alight Solutions LLC, Christopher Ferrara, Michael O'Connor (Individually ), Michael O'Connor (and as Plan Administrator for the UBS 401(k) Plan), Frank Sabia, UBS Financial Services Inc...(Berlajolli, Labinot)
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Filing 7
FILING ERROR - DEFICIENT DOCKET ENTRY - FIRST MOTION for A.J. BORRELLI to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26172930. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Alight Solutions LLC, Christopher Ferrara, Michael O'Connor (Individually ), Michael O'Connor (and as Plan Administrator for the UBS 401(k) Plan), Frank Sabia, UBS Financial Services Inc.. Return Date set for 5/23/2022 at 09:00 AM. (Attachments: #1 Text of Proposed Order Proposed Order, #2 Affidavit Affidavit of A.J. Borrelli, #3 Exhibit Ex. A Certificate of Good Standing).(Berlajolli, Labinot) Modified on 5/20/2022 (aea).
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Filing 6
NOTICE OF APPEARANCE by Labinot Alexander Berlajolli on behalf of Alight Solutions LLC, Michael O'Connor individually and as plan Administrator for the UBS 401(K) Plan, Christopher Ferrara and Frank Sabia, UBS Financial Services Inc...(Berlajolli, Labinot)
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***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Tod Scott Chasin re: Document No. #1 Notice of Removal,. The filing is deficient for the following reason(s): all of the parties listed on the pleading (Christopher Ferrara, Frank Sabia) were not entered on CM ECF. Docket the event type Add Party to Pleading found under the event list Complaints and Other Initiating Documents. (vf)
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***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Tod Scott Chasin. The party information for the following party/parties has been modified: Michael O'Connor individually and as plan Administrator for the UBS 401(K) Plan, Christopher Ferrara and Frank Sabia. The information for the party/parties has been modified for the following reason/reasons: party name entered incorrectly; party text entered incorrectly. (vf)
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ADD PARTY FOR PLEADING. Defendants/Respondents All Plaintiffs added. Party added pursuant to #1 Notice of Removal,.Document filed by Christopher Ferrara. Related document: #1 Notice of Removal,..(Berlajolli, Labinot)
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***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Tod Scott Chasin. The following case opening statistical information was erroneously selected/entered: County code New York. The following correction(s) have been made to your case entry: the County code has been modified to XX Out of State. (vf)
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ADD PARTY FOR PLEADING. Defendants/Respondents All Plaintiffs added. Party added pursuant to #1 Notice of Removal,.Document filed by Frank Sabia. Related document: #1 Notice of Removal,..(Berlajolli, Labinot)
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Magistrate Judge Stewart D. Aaron 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. (vf)
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Case Designated ECF. (vf)
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CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge John G. Koeltl. 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..(vf)
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Filing 5
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Group AG, Corporate Parent UBS Americas Holding LLC., Corporate Parent UBS Americas Inc. for UBS Financial Services Inc.. Document filed by UBS Financial Services Inc...(Chasin, Tod)
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Filing 4
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Alight, Inc. for Alight Solutions LLC. Document filed by Alight Solutions LLC..(Chasin, Tod)
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Filing 3
RELATED CASE AFFIRMATION of Tod S. Chasin re: that this action be filed as related to 19-06259;19-1100; 20-097291 (JPO). Document filed by Alight Solutions LLC, Michael O'Connor individually and as plan Administrator for the UBS 401(K) Plan, Christopher Ferrara and Frank Sabia, UBS Financial Services Inc...(Chasin, Tod)
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Filing 2
CIVIL COVER SHEET filed..(Chasin, Tod)
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Filing 1
NOTICE OF REMOVAL from Supreme Court of the State of New York, County of New York. Case Number: 161304/2021. (Filing Fee $ 402.00, Receipt Number ANYSDC-26138741).Document filed by Michael O'Connor individually, Michael O'Connor as plan Administrator for the UBS 401(K) Plan, Christopher Ferrara and Frank Sabia, Alight Solutions LLC, UBS Financial Services Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C).(Chasin, Tod)
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