UBS Financial Services, Inc. v. Zimmerman
| UBS Financial Services, Inc. |
| Robert Zimmerman |
| 5:2016cv00155 |
| April 7, 2016 |
| US District Court for the Eastern District of North Carolina |
| Western Division Office |
| PENDER |
| Louise Wood Flanagan |
| Arbitration |
| 28 U.S.C. ยง 2201 |
| None |
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Available Case Documents
The following documents for this case are available for you to view or download:
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Filing
81
AMENDED JUDGMENT in favor of UBS AG, UBS Financial Services, Inc., UBS Group AG, UBS Securities, LLC against Robert Zimmerman - Signed by Peter A. Moore, Jr., Clerk of Court on 7/11/2017. *Amended to correct date. (Tripp, S.)
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Filing
67
ORDER denying 37 Motion for Judgment on the Pleadings; denying 41 Motion for Miscellaneous Relief; granting in part and denying in part 51 Motion for Preliminary Injunction; denying 58 Motion to Strike; denying [60 ] Motion to Strike; denying 62 Motion to Strike; and denying 64 Motion to Strike - Plaintiff's alternative motion to expand the courts prior preliminary injunction is GRANTED. Defendant is hereby ENJOINED from pursuing arbitration against UBS Securities and the other UBS entities. The clerk is DIRECTED to add UBS Securities, LLC, UBS AG and UBS Group as plaintiffs to this action. Plaintiffs are DIRECTED to file a notice of appearance and financial disclosure statement within 14 days of date of this order. Plaintiffs shall post within 14 days security in the total amount of $5,000.00. In aid of just and speedy determination of this matter, plaintiffs are DIRECTED to make motion, as appropriate, for bringing this matter to final judgment, within 21 days of the date of this order. Defendant may file a response thereto within 21 days thereof, with any reply filed 14 days thereafter. Signed by District Judge Louise Wood Flanagan on 3/28/2017. (Baker, C.)
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Filing
55
ORDER granting 44 Motion to Dismiss for Failure to State a Claim - Defendant's first amended counterclaim is DISMISSED without prejudice. Signed by District Judge Louise Wood Flanagan on 12/1/2016. (Baker, C.)
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Filing
42
ORDER denying 35 Motion for Clarification - Signed by District Judge Louise Wood Flanagan on 7/25/2016. (Baker, C.)
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Filing
32
ORDER denying 14 Motion to Dismiss for Lack of Jurisdiction and granting 2 Motion for Preliminary Injunction - The court DIRECTS the parties to confer and provide to the court a status report within 14 days from date of entry of this order. Tha t report should discuss what, if any, need for discovery exists, and memorialize a suggested schedule for final resolution of the case. It shall also refer to some agreed-to settlement technique to be utilized in an effort to resolve issues in disput e as between the parties finally and provide a date certain for the parties' resort to that technique. Plaintiff shall post within this 14 day period security in the total amount of $5,000.00. Signed by District Judge Louise Wood Flanagan on 6/21/2016. (Baker, C.)
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Filing
15
ORDER granting 8 Motion for Temporary Retraining Order; granting 12 Motion for Extension of Time to Answer Complaint; granting 12 Motion for Extension of Time to File Response regarding 2 MOTION for Preliminary Injunction; and holding i n abeyance ruling as to 2 Motion for Preliminary Injunction - The court CONSTRUES plaintiff's supplemental motion for preliminary injunction (DE 8) as a motion for temporary restraining order and GRANTS the motion. Defendant hereby is RESTRAI NED from proceeding against plaintiff in FINRA arbitration number 15-03460, Zimmerman v. UBS Financial Services, Inc. and Charles Schwab and Company for a period of 14 days, until May 23, 2016, at 9:20 a.m. Prior to expiration of that 14 day period, plaintiff may reapply for a TRO for good cause shown. Plaintiff is DIRECTED to pay to the clerk $1,000.00 as security within 48 hours after the entry of this order. The court HOLDS IN ABEYANCE ruling on plaintiff's motion for preliminary in junction (DE 2). Defendant shall have up to and including May 30, 2016 to file an answer to the complaint and a response to plaintiff's motion for preliminary injunction. A notice setting a hearing on plaintiff's motion for preliminary injunction will follow. Signed by District Judge Louise Wood Flanagan on 5/9/2016. (Baker, C.)
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| Plaintiff: UBS Financial Services, Inc. | |
| Represented By: | David Lloyd Goldberg |
| Represented By: | Daniel M. Ketani |
| Represented By: | Rebecca Kinlein Lindahl |
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| Defendant: Robert Zimmerman | |
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