Kalish v. Morgan Stanley & Co., LLC
| Todd C. Kalish |
| Morgan Stanley & Co., LLC doing business as Morgan Stanley |
| 1:2022cv01412 |
| August 9, 2022 |
| US District Court for the Northern District of Ohio |
| Bridget Meehan Brennan |
| Jack Zouhary |
| Other Statutes: Arbitration |
| 09 U.S.C. § 1 U.S. Arbitration Act |
| None |
Docket Report
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| Filing 13 Brief in Opposition to Complaint in the Form of Motion to Vacate Arbitration Award filed by Morgan Stanley & Co., LLC. Related document(s) #1 . (Attachments: #1 Exhibit Cover Sheet, #2 Exhibit 1 - Submission Agreement dated September 12, 2018, #3 Exhibit 2 - SEC Release No. 34-91262 (Mar. 5, 2021), #4 Exhibit 3 - Selected pages from Transcript of July 13, 2022 Pre-Hearing Conference re: Suspension Proceedings, #5 Exhibit 4 - Declaration of Khoi Dang Vu dated October 6, 2022, #6 Exhibit 5 - FINRA The Neutral Corner Volume 3 (2019), #7 Exhibit 6 - FINRA DR Portal User Guide for Arbitrators and Mediators (June 2021), #8 Exhibit 7 - Selected Orders, #9 Exhibit 8 - Morgan Stanleys Closing Presentation, #10 Exhibit 9 - Morgan Stanleys Answer, Affirmative Defenses and Counterclaim, #11 Exhibit 10 - Arbitrator Profiles, #12 Exhibit 11 - Selected pages from Transcript of Arbitration, #13 Exhibit 12 - March 2, 2022 letter re: Bank Examination Privilege, #14 Exhibit 13 - February 4, 2022 email re: Claimants Exhibit 73 (without attachment)) (Berberian, H.) |
| Filing 12 Answer to #1 Complaint,,,,,, and Affirmative Defenses filed by Morgan Stanley & Co., LLC. (Berberian, H.) |
Order [non-document] granting attorney Bettina Levin Winer's motion for appearance pro hac vice (Doc. No. #11 ) for Morgan Stanley & Co., LLC. Local Rule 5.1(c) requires that attorneys register for NextGen CM/ECF and file and receive all documents electronically. NextGen CM/ECF registration can be done online at www.pacer.gov. Login with your PACER credentials, go to the Maintenance tab, click Attorney Admissions/E-File Registration, select Ohio Northern District Court and then select Pro Hac Vice. If you were previously granted pro hac vice status and are already registered to file electronically, it is not necessary to register again. Judge Bridget Meehan Brennan on 9/7/2022. (V,AR)
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Order [non-document] granting attorney H. Nicholas Berberian's motion for appearance pro hac vice (Doc. No. #10 ) for Morgan Stanley & Co., LLC. Local Rule 5.1(c) requires that attorneys register for NextGen CM/ECF and file and receive all documents electronically. NextGen CM/ECF registration can be done online at www.pacer.gov. Login with your PACER credentials, go to the Maintenance tab, click Attorney Admissions/E-File Registration, select Ohio Northern District Court and then select Pro Hac Vice. If you were previously granted pro hac vice status and are already registered to file electronically, it is not necessary to register again. Judge Bridget Meehan Brennan on 9/7/2022. (V,AR)
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| Request to Clerk for refund of erroneous or duplicate on-line filing fee payment. Reason for refund request: Duplicate payment. Receipt #: AOHNDC-11601284, filed by Morgan Stanley & Co., LLC. (Sobolewski, Brad) |
| Filing 11 Motion for attorney Bettina Levin Winer to Appear Pro Hac Vice. Filing fee $ 120, receipt number BOHNDC-11601284, filed by Defendant Morgan Stanley & Co., LLC. (Attachments: #1 Certificate of Good Standing)(Sobolewski, Brad) |
| Filing 10 Motion for attorney H. Nicholas Berberian to Appear Pro Hac Vice. Filing fee $ 120, receipt number AOHNDC-11601242, filed by Defendant Morgan Stanley & Co., LLC. (Attachments: #1 Exhibit A-Certificate of Good Standing)(Sobolewski, Brad) |
| Filing 9 Attorney Appearance by Brad A. Sobolewski and Michael N. Ungar filed by on behalf of Morgan Stanley & Co., LLC. (Sobolewski, Brad) |
| Filing 8 Waiver of Service Returned Executed by Todd C. Kalish. Morgan Stanley & Co., LLC waiver sent on 8/10/2022, answer due 10/10/2022 filed on behalf of Todd C. Kalish (Archinaco, Jason) |
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Filing 7
Order of Recusal. This case is returned to the Clerk for reassignment to another judge. Signed by Judge Solomon Oliver, Jr. on 8/10/2022. (R,Sh)
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Filing 6
Order of Recusal. This case is returned to the Clerk for reassignment to another judge. Judge Jack Zouhary on 8/10/2022. (V,S)
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| Judge Bridget Meehan Brennan assigned to case. Judge Solomon Oliver, Jr. terminated. (R,AP) |
| Judge Solomon Oliver, Jr assigned to case Judge James R. Knepp II terminated. (S,DM) |
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Order of Reassignment: [non-document] This case, having been assigned to the incorrect division within the Northern District of Ohio, is hereby returned to the Clerk of Court to correct and reassign accordingly. Judge James R. Knepp II on 8/10/2022. (B,JL)
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| Random Assignment of Magistrate Judge pursuant to Local Rule 3.1. In the event of a referral, case will be assigned to Magistrate Judge William H. Baughman, Jr.. (S,DM) |
| Judge James R. Knepp II assigned to case Judge Jack Zouhary terminated. (K,AR) |
| Filing 5 Magistrate Consent Form issued. Summons were not attached and were not issued. (S,DM) |
| Filing 4 Brief in Support of Complaint in the Form of Motion to Vacate Arbitration Award filed on behalf of Todd C. Kalish.(Document does not contain original signature) Related document(s) #1 . (S,DM) |
| Filing 3 Notice of Complaint in the Form of Motion to Vacate Arbitration Award filed on behalf of Todd C. Kalish. (Attachments: #1 Proposed Order)Related document(s) #1 .(S,DM) |
| Filing 2 Exhibit 29 to #1 Complaint - One (1) USB Drive containing Audio Files marked Exhibit 29-1 to 29-13 on file in the Clerk's office filed on behalf of Todd C. Kalish. Related document(s) #1 .(S,DM) (Additional attachment(s) added on 8/9/2022: #1 File Stamped Notice of Manual Filing) (S,DM). Modified on 8/10/2022 (S,DM). |
| Filing 1 Complaint in the Form of Motion to Vacate Arbitration Award against Morgan Stanley & Co., LLC. Filing fee paid. 402.00. Receipt # 34660013217. Filed on behalf of Todd C. Kalish. (Attachments: #1 Civil Cover Sheet, #2 Exhibit 1- FINRA Statement of Claim, #3 Exhibit 2- FINRA Award, #4 Exhibit 3- Arch Naco Correspondence, #5 Exhibit 4- Arch Naco Correspondence, #6 Exhibit 5- Finra Correspondence, #7 Exhibit 6- Arch Nato Correspondence, #8 Exhibit 7-Finra Correspondence, #9 Exhibit 8- Finra Correspondence, #10 Exhibit 9- Finra Correspondence, #11 Exhibit 10- Notice of Hearing and Case Management, #12 Exhibit 11- FINRA Documentation, #13 Exhibit 12- 7/13/22 Video Conference Transcription, #14 Exhibit 13- Response Request for Info and Documents, #15 Exhibit 14- Objection to Kalish Discovery Request, #16 Exhibit 15- SEC Documentation, #17 Exhibit 16- Claimant Prehearing Brief, #18 Exhibit 17- Response to Motion to Compel, #19 Exhibit 18- Kalish Priviledge Log, #20 Exhibit 19- Second Motion to Compel, #21 Exhibit 20- FINRA Dispute resolution, #22 Exhibit 21- FINRA Transcript, #23 Exhibit 22- February 3, 2022 Transcript, #24 Exhibit 23- March 1, 2022 Transcript, #25 Exhibit 24- March 2, 2022 Transcript, #26 Exhibit 25- March 8, 2022 Transcript, #27 Exhibit 26- March 9, 2022 Transcript, #28 Exhibit 27- March 10, 2022 Transcript, #29 Exhibit 28- February 4, 2022 Transcript, #30 Exhibit 29- Manual Filing) (S,DM) |
| Judge Jack Zouhary assigned to case. (S,DM) |
| Random Assignment of Magistrate Judge pursuant to Local Rule 3.1. In the event of a referral, case will be assigned to Magistrate Judge Darrell A. Clay. (S,DM) |
| FILING ERROR - Notice of failure to file electronically, pursuant to Local Rule 5.1(c). Non-compliant document: #1 Complaint in the Form of Motion to Vacate Arbitration Award filed on behalf of Todd C. Kalish. Related document(s) #1 #2 , #3 , #4 . (S,DM) Modified on 8/10/2022 filed in error. (S,DM). |
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