Phunware, Inc. v. UBS Securities LLC
| Phunware, Inc. |
| UBS Securities LLC |
| 1:2023cv06426 |
| July 25, 2023 |
| US District Court for the Southern District of New York |
| Analisa Torres |
| Securities/Commodities |
| Plaintiff |
Docket Report
RSS Track this Docket
This docket was last retrieved on April 4, 2024. A more recent docket listing may be available from PACER.
| Document Text |
|---|
Filing 19
JOINT LETTER addressed to Judge Analisa Torres from Laura H. Posner and Herbert S. Washer dated September 22, 2023 re: Consent to Proceed Before a Magistrate Judge. Document filed by UBS Securities LLC..(Washer, Herbert)
|
|
Filing 18
NOTICE OF APPEARANCE by Raymond Michael Sarola on behalf of Phunware, Inc...(Sarola, Raymond)
|
|
Filing 17
JOINT STIPULATION REGARDING SERVICE AND TIME TO RESPOND TO COMPLAINT NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED as follows: 1. Subject to the reservation of rights contained in paragraph 6 below, Defendant agrees to waive service of the Summons and Complaint; 2. The time for Defendant to move against, answer, or otherwise respond to the Complaint, is extended to and includes October 6, 2023. 3. To the extent ordered by the Court, in advance of October 6, 2023, the parties will comply with the Courts Special Rules for Motions to Dismiss by serving and/or filing pre-motion letters as set out in this Courts Individual Practices III.A and III.B. 4. If Defendant decides to file a motion to dismiss, and unless the Court orders otherwise: a. Defendant shall move to dismiss the Complaint by October 6, 2023; b. On or before October 16, 2023, Plaintiff shall notify the Court and Defendant in writing whether (1) it intends to file an amended pleading and when it will do so; or (2) it will rely on the pleading being attacked; c. To the extent Plaintiff notifies the Court it will rely on its current pleading, Plaintiff shall respond to the motion to dismiss on or before December 5, 2023. d. Defendant shall file a reply in further support of its motion to dismiss on or before January 4, 2023. (And as further set forth herein.) SO ORDERED. UBS Securities LLC answer due 10/6/2023.(Motions due by 10/6/2023., Replies due by 1/4/2024., Responses due by 12/5/2023) (Signed by Judge Analisa Torres on 9/6/2023) (jca)
|
|
Filing 16
LETTER addressed to Judge Analisa Torres from Laura H. Posner dated September 5, 2023 re: the Court's September 1, 2023 Order (ECF No. 15). Document filed by Phunware, Inc...(Posner, Laura)
|
|
Filing 15
ORDER The Court has reviewed Defendant's letter dated September 1, 2023. See ECF No. 14. By September 5, 2023, Plaintiff is directed to respond, including whether it intends to move for relief from the automatic stay of discovery under the Private Securities Litigation Reform Act, 15 U.S.C. 78u-4(b)(3)(B). The parties' deadline to file a revised proposed joint stipulation is adjourned sine die. SO ORDERED. (Signed by Judge Analisa Torres on 9/1/2023) (jca) Modified on 9/21/2023 (jca).
|
|
Filing 14
LETTER addressed to Judge Analisa Torres from Herbert S. Washer dated September 1, 2023 re: Seeking Clarification with Respect to the Court's August 29, 2023 Order (ECF No. 13). Document filed by UBS Securities LLC..(Washer, Herbert)
|
|
Filing 13
ORDER Accordingly, by September 5, 2023, the parties shall file a revised proposed joint stipulation. SO ORDERED. (Signed by Judge Analisa Torres on 8/29/2023) (jca)
|
|
Filing 12
PROPOSED STIPULATION AND ORDER. Document filed by UBS Securities LLC..(Washer, Herbert)
|
|
Filing 11
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Group AG, Corporate Parent UBS Americas Holdings LLC, Corporate Parent UBS Americas Inc. for UBS Securities LLC. Document filed by UBS Securities LLC..(Washer, Herbert)
|
|
Filing 10
NOTICE OF APPEARANCE by Tammy Lynn Roy on behalf of UBS Securities LLC..(Roy, Tammy)
|
|
Filing 9
NOTICE OF APPEARANCE by Herbert Scott Washer on behalf of UBS Securities LLC..(Washer, Herbert)
|
|
Filing 8
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. (as further set forth herein). SO ORDERED. (Signed by Judge Analisa Torres on 7/26/2023) (kv)
|
|
Filing 7
ORDER: To protect the public health, while promoting the "just, speedy, and inexpensive determination of every action and proceeding," Fed. R. Civ. P. 1, it is ORDERED pursuant to Rules 30(b)(3) and 30(b)(4) of the Federal Rules of Civil Procedure that all depositions in this action may be taken via telephone, videoconference, or other remote means. It is further ORDERED pursuant to Rule 30(b)(5) that a deposition will be deemed to have taken place "before an officer appointed or designated under Rule 28" if such officer attends the deposition using the same remote means used to connect all other participants, so long as all participants (including the officer) can clearly hear and be heard by all other participants. The parties are encouraged to engage in discovery through remote means at every available opportunity. SO ORDERED. (Signed by Judge Analisa Torres on 7/26/2023) (kv)
|
|
Filing 6
INITIAL PRETRIAL SCHEDULING ORDER: Counsel for all parties are directed to submit a joint letter and a jointly proposed Case Management Plan and Scheduling Order by September 25, 2023, in accordance with Rule 16 of the Federal Rules of Civil Procedure and the instructions set forth below. (Signed by Judge Analisa Torres on 7/26/2023) (kv)
|
|
Filing 5
ELECTRONIC SUMMONS ISSUED as to UBS Securities LLC..(jgo)
|
|
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..(jgo)
|
|
Magistrate Judge Gabriel W. Gorenstein 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)
|
|
Case Designated ECF. (jgo)
|
|
Filing 4
REQUEST FOR ISSUANCE OF SUMMONS as to UBS Securities LLC, re: #1 Complaint. Document filed by Phunware, Inc...(Posner, Laura)
|
|
Filing 3
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Phunware, Inc...(Posner, Laura)
|
|
Filing 2
CIVIL COVER SHEET filed..(Posner, Laura)
|
|
Filing 1
COMPLAINT against UBS Securities LLC. (Filing Fee $ 402.00, Receipt Number ANYSDC-28051269)Document filed by Phunware, Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2).(Posner, Laura)
|
Access additional case information on PACER
Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.
Access this case on the New York Southern District Court's Electronic Court Filings (ECF) System
- Search for Party Aliases
- Associated Cases
- Attorneys
- Case File Location
- Case Summary
- Docket Report
- History/Documents
- Parties
- Related Transactions
- Check Status
| Search for this case: Phunware, Inc. v. UBS Securities LLC | |
|---|---|
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Web | [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ] |
| Plaintiff: Phunware, Inc. | |
| Represented By: | Laura Helen Posner |
| Represented By: | Raymond Michael Sarola |
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Finance | [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ] |
| Search Web | [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ] |
| Defendant: UBS Securities LLC | |
| Represented By: | Herbert Scott Washer |
| Represented By: | Tammy Lynn Roy |
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Finance | [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ] |
| Search Web | [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ] |
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.
