The Capital Markets Company, LLC v. Halpern
| The Capital Markets Company, LLC |
| Isaac Halpern |
| 1:2022cv07637 |
| September 8, 2022 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| Katherine Polk Failla |
| Contract: Other |
| 28 U.S.C. § 1332 bc Diversity-Breach of Contract |
| Plaintiff |
Docket Report
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Filing 49
ORDER granting #48 Letter Motion for Extension of Time to File. Application GRANTED. Defendant's deadline to answer or otherwise respond to the Complaint is hereby adjourned to December 7, 2022. Plaintiff's deadline to submit its preliminary injunction papers is hereby adjourned to January 11, 2023, and Defendant's deadline to file any opposition is hereby adjourned to January 16, 2023. Accordingly, the hearing regarding Plaintiff's motion for a preliminary injunction currently scheduled for December 20, 2022, at 10:00 a.m. is hereby ADJOURNED. The parties are directed to contact the Court via email at Failla_NYSDChambers@nysd.uscourts.gov on or before November 14, 2022, to advise the Court of their availability for a hearing on January 26, 2023. The Clerk of Court is directed to terminate the pending motion at docket number 48. (Signed by Judge Katherine Polk Failla on 10/25/2022) (rro)
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| Filing 48 CONSENT LETTER MOTION for Extension of Time to File Papers in Support of and in Opposition to Plaintiff's Application for a Preliminary Injunction, to Reset the Preliminary Injunction Hearing, and to Extend the Time for Defendant to Answer or Otherwise Respond to the Complaint addressed to Judge Katherine Polk Failla from John P. Barry dated October 25, 2022. Document filed by The Capital Markets Company, LLC..(Barry, John) |
| Set/Reset Deadlines: The Capital Markets Company, LLC answer due 12/7/2022., (rro) |
| Filing 47 NOTICE OF APPEARANCE by Sarah Catherine Curl Tishler on behalf of The Capital Markets Company, LLC..(Tishler, Sarah) |
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Filing 46
ORDER: The parties are hereby ORDERED to appear for a hearing regarding Plaintiff's motion for a preliminary injunction on December 20, 2022, at 10:00 a.m. in Courtroom 618 of the Thurgood Marshall Courthouse, 40 Foley Square, New York, New York. The parties are not obligated to bring witnesses to the hearing, but instead may have any witnesses available by telephone or video. The dial-in information is as follows: At 10:00 a.m., any witnesses who wish to proceed by phone shall call (888) 363-4749 and enter access code 5123533. Please note, the conference will not be available prior to 10:00 a.m. Instructions for accessing the videoconference will be provided separately. SO ORDERED. Status Conference set for 12/20/2022 at 10:00 AM in Courtroom 618, 40 Centre Street, New York, NY 10007 before Judge Katherine Polk Failla. (Signed by Judge Katherine Polk Failla on 10/12/2022) (rro)
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| Filing 45 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TELEPHONE CONFERENCE proceeding held on 9/14/2022 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days... (js) |
| Filing 44 TRANSCRIPT of Proceedings re: TELEPHONE CONFERENCE held on 9/14/2022 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 10/26/2022. Redacted Transcript Deadline set for 11/7/2022. Release of Transcript Restriction set for 1/3/2023. (js) |
| Filing 43 MEMO ENDORSEMENT on re: #40 Letter filed by Isaac Halpern. ENDORSEMENT: The Court is in receipt of the parties' submissions detailing their disagreements regarding (i) a briefing schedule for Plaintiff's motion for a preliminary injunction; (ii) the maximum allowable interrogatories and document requests, as well as a time limit on depositions; and (iii) Defendant's proposed deposition of Capco Chief Executive Officer Lance Levy. (Dkt. #38-40). First, the Court adopts Defendant's proposed briefing schedule: Plaintiff's preliminary injunction papers shall be due December 5, 2022, and Defendant's opposition papers shall be due December 9, 2022. The parties are directed to contact the Court via email at Failla_NYSDChambers@nysd.uscourts.gov on or before October 12, 2022, to advise the Court of their availability for a hearing on December 20, 2022, regarding Plaintiff's motion for a preliminary injunction. The Court takes no position as to the parties' proposed interim discovery deadlines. Second, the Court agrees with Defendant that imposing a limit on the number of document requests is inappropriate at this time. The Court takes no position on the parties' discussions regarding a limit on the number of interrogatories or on the length of depositions. Third, Defendants application to depose Mr. Levy is DENIED on the record currently before the Court. Defendant has not met his burden under the apex doctrine of demonstrating that Mr. Levy possesses unique evidence and personal knowledge of the claims at issue, or that other witnesses are incapable of providing the testimony Defendant seeks. See Harapeti v. CBS Television Stations Inc., No. 21 Misc. 680 (PAE), 2021 WL 3932424, at *2 (S.D.N.Y. Sept. 2, 2021). ( Motions due by 12/5/2022., Responses due by 12/9/2022) (Signed by Judge Katherine Polk Failla on 10/4/2022) (rro) |
| Filing 42 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a DECISION proceeding held on 9/16/2022 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days....(McGuirk, Kelly) |
| Filing 41 TRANSCRIPT of Proceedings re: DECISON held on 9/16/2022 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Andrew Walker, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 10/25/2022. Redacted Transcript Deadline set for 11/4/2022. Release of Transcript Restriction set for 1/2/2023..(McGuirk, Kelly) |
| Filing 40 LETTER addressed to Judge Katherine Polk Failla from David Wechsler dated October 1, 2022 re: Response to Mr. Barry's Letter. Document filed by Isaac Halpern..(Wechsler, David) |
| Filing 39 LETTER addressed to Judge Katherine Polk Failla from John P. Barry dated September 30, 2022 re: Expedited Discovery Schedule. Document filed by The Capital Markets Company, LLC..(Barry, John) |
| Filing 38 LETTER addressed to Judge Katherine Polk Failla from David Wechsler dated September 30, 2022 re: Discovery Schedule. Document filed by Isaac Halpern..(Wechsler, David) |
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Filing 37
STIPULATION AND ORDER EXTENDING TIME TO RESPOND TO THE COMPLAINT: IT IS HEREBY STIPULATED AND AGREED by and between the undersigned attorneys for Plaintiff and Defendant, that Defendant's time to answer, counterclaim, and/or otherwise move in response to the Complaint filed September 8, 2022, is extended up to and including October 31, 2022. The deadline to answer or otherwise respond to the Complaint for Defendant is currently September 29, 2022. There has been no previous request for extension of time in connection with this matter. IT IS FURTHER STIPULATED AND AGREED that this Stipulation may be executed in counterparts and by e-mail or other electronic means, each of which shall be deemed an original for purposes of this Stipulation. SO ORDERED Isaac Halpern answer due 10/31/2022. (Signed by Judge Katherine Polk Failla on 9/23/2022) (rro)
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| Filing 36 PROPOSED STIPULATION AND ORDER. Document filed by Isaac Halpern..(Wechsler, David) |
| Filing 35 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TELEPHONE CONFERENCE proceeding held on 9/14/2022 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days... (js) |
| Filing 34 TRANSCRIPT of Proceedings re: TELEPHONE CONFERENCE held on 9/14/2022 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 10/13/2022. Redacted Transcript Deadline set for 10/24/2022. Release of Transcript Restriction set for 12/21/2022. (js) |
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Filing 33
ORDER terminating #21 Motion for Discovery; terminating #30 Letter Motion to Seal. For the reasons stated at todays conference, Plaintiffs motion for a temporary restraining order is DENIED. The Clerk of Court is directed to terminate the pending motions at docket numbers 21 and 30. (Signed by Judge Katherine Polk Failla on 9/16/2022) (rro)
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| Minute Entry for proceedings held before Judge Katherine Polk Failla: Telephone Conference held on 9/16/2022. Attorneys John Patrick Barry, Celine J. Chan, and Rebecca J. Sivitz representing Plaintiff present. Attorneys David Brian Wechsler and Adam B. Oppenheim representing Defendant present. For the reasons stated on the record, Plaintiff's request for a TRO is DENIED. The parties shall file a joint letter on or before 9/30/2022, regarding the next steps in this case. (Court Reporter Andrew Walker) (tn) |
| Filing 32 LETTER addressed to Judge Katherine Polk Failla from David Wechsler dated September 15, 2022 re: Plaintiff's Filing. Document filed by Isaac Halpern..(Wechsler, David) |
| Filing 31 ***SELECTED PARTIES***DECLARATION of Michael Ethelston in Support re: #5 Proposed Order to Show Cause With Emergency Relief. Document filed by The Capital Markets Company, LLC, Isaac Halpern. (Attachments: #1 Exhibit A - Growth Strategy Overview, #2 Exhibit B - Digital Strategy Proposal)Motion or Order to File Under Seal: #30 .(Barry, John) |
| Filing 30 LETTER MOTION to Seal the Supplemental Declaration of Michael Ethelston and Exhibits A and B thereto addressed to Judge Katherine Polk Failla from John P. Barry dated September 15, 2022. Document filed by The Capital Markets Company, LLC..(Barry, John) |
| Filing 29 OPPOSITION BRIEF re: #5 Proposed Order to Show Cause With Emergency Relief . Document filed by Isaac Halpern. (Attachments: #1 Affidavit of Isaac Halpern, #2 Exhibit A - September 7, 2022 Email, #3 Exhibit B - Declaration of Andrea Culver, #4 Exhibit C - Compliance Statement, #5 Exhibit D - August 3, 2022 Email).(Wechsler, David) |
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Filing 28
ORDER, The parties are hereby ORDERED to appear for a telephone conference regarding Plaintiff's application for emergency relief on Friday, September 16, 2022, at 11:00 a.m. The dial-in information is as follows: At 11:00 a.m., the parties shall call (888) 363-4749 and enter access code 5123533. Please note, the conference will not be available prior to 11:00 a.m. SO ORDERED. ( Telephone Conference set for 9/16/2022 at 11:00 AM before Judge Katherine Polk Failla.) (Signed by Judge Katherine Polk Failla on 9/14/22) (yv)
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| Minute Entry for proceedings held before Judge Katherine Polk Failla: Temporary Restraining Order Hearing held on 9/14/2022. Attorneys John Patrick Barry, Celine J. Chan, Rebecca J. Sivitz, Omar Abdel-Hamid, Sahir Merchant, and Elizabeth Casey representing Plaintiff present. Attorneys David Brian Wechsler and Adam B. Oppenheim representing Defendant present. The Court will issue its decision on 9/16/2022 at 11:00 a.m. (Court Reporter recorded) (tn) |
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Filing 27
ORDER granting #25 Letter Motion to Seal. Application GRANTED. The Clerk of Court is directed to maintain the documents at docket number 26 under seal, visible to the Court and parties only. The Clerk of Court is further directed to terminate the pending motion at docket number 25. (Signed by Judge Katherine Polk Failla on 9/14/2022) (rro)
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| Filing 26 ***SELECTED PARTIES***DECLARATION of Michael Ethelston in Support re: #5 Proposed Order to Show Cause With Emergency Relief. Document filed by The Capital Markets Company, LLC, Isaac Halpern. (Attachments: #1 Exhibit A - Partner Deck re Incentive Plan)Motion or Order to File Under Seal: #25 .(Barry, John) |
| Filing 25 LETTER MOTION to Seal Exhibit A to the Declaration of Michael Ethelston addressed to Judge Katherine Polk Failla from John P. Barry dated September 14, 2022. Document filed by The Capital Markets Company, LLC..(Barry, John) |
| Filing 24 DECLARATION of Michael Ethelston in Support re: #5 Proposed Order to Show Cause With Emergency Relief. Document filed by The Capital Markets Company, LLC. (Attachments: #1 Exhibit A - Partner Deck re Incentive Plan (FILED UNDER SEAL)).(Barry, John) |
| Filing 23 REPLY MEMORANDUM OF LAW in Support re: #5 Proposed Order to Show Cause With Emergency Relief for Temporary Restraining Order, Preliminary Injunction and Expedited Discovery. Document filed by The Capital Markets Company, LLC..(Barry, John) |
| NOTICE CONVERTING TELEPHONIC CONFERENCE TO VIDEO CONFERENCE re: #14 Order: The conference scheduled for 9/14/2022 will be held via video conference with public audio access at (646) 453-4442, Conference ID 362 921 284#. Instructions to video participants will be sent separately in advance of the conference. All public callers should be muted when dialing in to the conference. ***No PDF is attached to this entry. (tn) |
| Filing 22 FILING ERROR - DEFICIENT DOCKET ENTRY - (SEE DOCUMENT#29) OPPOSITION BRIEF re: #5 Proposed Order to Show Cause With Emergency Relief . Document filed by Isaac Halpern. (Attachments: #1 Affidavit of Isaac Halpern, #2 Exhibit A - September 7, 2022 Email, #3 Exhibit B - Declaration of Andrea Culver, #4 Exhibit C - Compliance Statement, #5 Exhibit D - August 3, 2022 Email).(Wechsler, David) Modified on 9/15/2022 (lb). |
| Filing 21 CROSS MOTION for Discovery . Document filed by Isaac Halpern. (Attachments: #1 Supplement Defendants First Set of Interrogatories and First Set of Requests for Production to Plaintiff, #2 Supplement Notice of Deposition of Michael Ethelston, #3 Supplement Notice of Deposition of Lance Levy, #4 Supplement Notice of Deposition of David Oxenstierna, #5 Supplement Notice of Deposition of Michael Pugliese).(Wechsler, David) |
| Filing 20 FILING ERROR - DEFICIENT DOCKET ENTRY - OPPOSITION BRIEF re: #5 Proposed Order to Show Cause With Emergency Relief . Document filed by Isaac Halpern. (Attachments: #1 Affidavit of Isaac Halpern, #2 Exhibit A - September 7, 2022 Email, #3 Exhibit B - Declaration of Andrea Culver, #4 Exhibit C - Compliance Statement, #5 Exhibit D - August 3, 2022 Email).(Wechsler, David) Modified on 9/14/2022 (kj). Modified on 9/14/2022 (kj). |
| Filing 19 NOTICE OF APPEARANCE by Celine J. Chan on behalf of The Capital Markets Company, LLC..(Chan, Celine) |
| Filing 18 NOTICE OF APPEARANCE by Rebecca J Sivitz on behalf of The Capital Markets Company, LLC..(Sivitz, Rebecca) |
| Filing 17 NOTICE OF APPEARANCE by Adam B. Oppenheim on behalf of Isaac Halpern..(Oppenheim, Adam) |
| Filing 16 NOTICE OF APPEARANCE by David Brian Wechsler on behalf of Isaac Halpern..(Wechsler, David) |
| Filing 15 LETTER addressed to Judge Katherine Polk Failla from David Wechsler dated September 8, 2022 re: Scheduling. Document filed by Isaac Halpern..(Wechsler, David) |
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Filing 14
ORDER: The Court is in receipt of Plaintiff's application for emergency relief, filed September 8, 2022. (See Dkt. #5). The parties are hereby ORDERED to appearfor a telephone conference regarding the application on Wednesday, September 14, 2022, at 4:45 p.m. The dial-in information is as follows: At 4:45 p.m., the parties shall call (888) 363-4749 and enter access code 5123533. Please note, the conference will not be available prior to 4:45 p.m. SO ORDERED., ( Telephone Conference set for 9/14/2022 at 04:45 PM before Judge Katherine Polk Failla.) (Signed by Judge Katherine Polk Failla on 9/08/2022) (ama)
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| Filing 13 MEMO ENDORSEMENT: granting #10 Letter Motion to Seal. ENDORSEMENT: Application GRANTED. Plaintiff shall be permitted to file under seal, visible to the Court and parties only, Exhibits F and G to the Declaration of Michael Ethelston. The Clerk of Court is directed to terminate the pending motion at docket number 10. (Signed by Judge Katherine Polk Failla on 9/8/2022) (rro) |
| Filing 12 ***SELECTED PARTIES***DECLARATION of Michael Ethelston in Support re: #5 Proposed Order to Show Cause With Emergency Relief. Document filed by The Capital Markets Company, LLC, Isaac Halpern. (Attachments: #1 Exhibit F - US Strategy Deck, #2 Exhibit G - Global Strategy Deck)Motion or Order to File Under Seal: #10 .(Barry, John) |
| Filing 11 MEMORANDUM OF LAW in Support re: #10 MOTION to Seal Exhibits F and G to the Declaration of Michael Ethelston. . Document filed by The Capital Markets Company, LLC..(Barry, John) |
| Filing 10 MOTION to Seal Exhibits F and G to the Declaration of Michael Ethelston. Document filed by The Capital Markets Company, LLC..(Barry, John) |
| Filing 9 DECLARATION of Michael Ethelston in Support re: #5 Proposed Order to Show Cause With Emergency Relief. Document filed by The Capital Markets Company, LLC. (Attachments: #1 Exhibit A - Halpern LinkedIn Profile, #2 Exhibit B - Halpern AP Deck, #3 Exhibit C - Halpern BPA, #4 Exhibit D - Capco Data Protection Policies, #5 Exhibit E - Halpern Partner Presentation Deck, #6 Exhibit F - US Strategy Deck (FILED UNDER SEAL), #7 Exhibit G - Global Strategy Deck (FILED UNDER SEAL), #8 Exhibit H - InvestWest Article, #9 Exhibit I - Halpern Resignation Email, #10 Exhibit J - Halpern Exit Letter, #11 Exhibit K - Capco Cease and Desist Letter dated August 5, 2022, #12 Exhibit L - Front Page about EYP, #13 Exhibit M - EYP Partner Announcement).(Barry, John) |
| Filing 8 ELECTRONIC SUMMONS ISSUED as to Isaac Halpern. (vf) |
| Filing 7 DECLARATION of Celine Chan in Support re: #5 Proposed Order to Show Cause With Emergency Relief. Document filed by The Capital Markets Company, LLC. (Attachments: #1 Exhibit A - Capco's First Set of Interrogatories and Requests for Production to Defendant, #2 Exhibit B - Capco's Notice of Deposition of Defendant Isaac Halpern).(Barry, John) |
| Filing 6 MEMORANDUM OF LAW in Support re: #5 Proposed Order to Show Cause With Emergency Relief for Temporary Restraining Order, Preliminary Injunction and Expedited Discovery. Document filed by The Capital Markets Company, LLC..(Barry, John) |
| Filing 5 PROPOSED ORDER TO SHOW CAUSE WITH EMERGENCY RELIEF. Document filed by The Capital Markets Company, LLC..(Barry, John) Proposed Order to Show Cause to be reviewed by Clerk's Office staff. |
| Filing 4 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Cardinal US Holdings, Inc. for The Capital Markets Company, LLC. Document filed by The Capital Markets Company, LLC..(Barry, John) |
| Filing 3 REQUEST FOR ISSUANCE OF SUMMONS as to Isaac Halpern, re: #1 Complaint. Document filed by The Capital Markets Company, LLC..(Barry, John) |
| Filing 2 CIVIL COVER SHEET filed..(Barry, John) |
| Filing 1 COMPLAINT against Isaac Halpern. (Filing Fee $ 402.00, Receipt Number ANYSDC-26648165)Document filed by The Capital Markets Company, LLC..(Barry, John) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER TO SHOW CAUSE WITH EMERGENCY RELIEF. Document No. #5 Proposed Order to Show Cause With Emergency Relief was reviewed and approved as to form. (nd) |
| Case Designated ECF. (vf) |
| 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. (vf) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Katherine Polk Failla. 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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