UBS Financial Services Inc. v. Platte et al
Plaintiff: UBS Financial Services Inc.
Defendant: Lance White, Michael Platte and Matthew Penrod
Case Number: 2:2019cv04550
Filed: October 11, 2019
Court: US District Court for the Southern District of Ohio
Presiding Judge: Elizabeth Preston Deavers
Referring Judge: James L Graham
2 Judge: Michael H Watson
Nature of Suit: Contract: Other
Cause of Action: 28:1332
Jury Demanded By: None
Docket Report

This docket was last retrieved on November 26, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
November 26, 2019 Filing 26 AGREED PRELIMINARY INJUNCTION. Signed by Judge Michael H. Watson on 11/26/2019. (jk)
November 18, 2019 Reset deadlines pursuant to #25 : Answers due 11/26/2019. (ew)
November 18, 2019 Filing 25 STIPULATION THIRD STIPULATED EXTENSION OF TIME FOR DEFENDANTS TO ANSWER OR OTHERWISE RESPOND TO PLAINTIFF'S COMPLAINT by Defendants Matthew Penrod, Michael Platte, Lance White. (Sandner, Michael)
November 14, 2019 Minute Entry for proceedings held before Judge Michael H. Watson: Telephone Conference held on 11/14/2019. (Court Reporter: Lahana DuFour) (jk)
November 12, 2019 NOTICE of Hearing - Telephone Status Conference set for 11/14/2019 at 3:30 p.m. before Judge Michael H. Watson. (jk)
November 8, 2019 Reset deadlines pursuant to #24 : Answers due 11/19/2019. (ew)
November 8, 2019 Filing 24 STIPULATION SECOND STIPULATED EXTENSION OF TIME FOR DEFENDANTS TO ANSWER OR OTHERWISE RESPOND TO PLAINTIFF'S COMPLAINT by Defendants Matthew Penrod, Michael Platte, Lance White. (Sandner, Michael)
November 5, 2019 Filing 23 REPLY to Response to Motion re #15 MOTION to Expedite EXPEDITED MOTION TO COMPEL ARBITRATION AND STAY PROCEEDINGS REPLY BRIEF IN SUPPORT OF DEFENDANTS' EXPEDITED MOTION TO COMPEL ARBITRATION filed by Defendants Matthew Penrod, Michael Platte, Lance White. (Sandner, Michael)
October 31, 2019 Reset deadlines pursuant to #22 : Answers due 11/12/2019. (ew)
October 31, 2019 Filing 22 STIPULATION STIPULATED EXTENSION OF TIME FOR DEFENDANTS TO ANSWER OR OTHERWISE RESPOND TO PLAINTIFF'S COMPLAINT by Defendants Matthew Penrod, Michael Platte, Lance White. (Sandner, Michael)
October 28, 2019 Filing 21 RESPONSE in Opposition re #15 MOTION to Expedite EXPEDITED MOTION TO COMPEL ARBITRATION AND STAY PROCEEDINGS filed by Plaintiff UBS Financial Services Inc.. (Attachments: #1 Exhibit 1 - FINRA Rule 13200(a), #2 Exhibit 2 - FINRA Rule 13804(a)(2), #3 Exhibit 3 - FINRA Rule 13100(dd), #4 Exhibit 4 - Correspondence from FINRA (October 14, 2019), #5 Exhibit 5 - Plf's Amended Complaint for Injunctive and Other Relief (MSSB, LLC v. Abel), #6 Exhibit 6 - Complaint (MSSB, LLC v. Fitzgerald)) (Hiller, Jeffrey)
October 28, 2019 Filing 20 REPLY to Response to Motion re #3 MOTION to Expedite Discovery and for a Preliminary Conference filed by Plaintiff UBS Financial Services Inc.. (Attachments: #1 Exhibit 1 - FINRA Rule 13200(a), #2 Exhibit 2 - FINRA Rule 13804(a)(2), #3 Exhibit 3 - Plf's Emergency Motion for Expedited Discovery (MSSB, LLC v. Daniel)) (Hiller, Jeffrey)
October 28, 2019 Minute Entry for proceedings held before Magistrate Judge Elizabeth Preston Deavers: Status Conference held on 10/28/2019. (Court Reporter: Darla Coulter) (sln)
October 28, 2019 Opinion or Order Filing 19 ORDER - Plaintiff indicates that it will be filing its Reply in support of its Motion for Expedited Discovery #3 and Memorandum in Opposition to Defendants' Motion to Compel Arbitration and Stay Proceedings #15 by OCTOBER 29, 2019. Defendants will file their Reply to their Motion to Compel Arbitration by NOVEMBER 5, 2019. Signed by Magistrate Judge Elizabeth Preston Deavers on October 28, 2019. (jlk)
October 28, 2019 Opinion or Order Filing 18 NOTATION ORDER granting #17 Motion for Leave to Appear Pro Hac Vice of Daniel Herman Wirth. By Magistrate Judge Elizabeth Preston Deavers on 10/28/2019. (ew)
October 25, 2019 Filing 17 MOTION for Leave to Appear Pro Hac Vice (Filing fee of $200 paid, receipt number 0648-7171831) of DANIEL HERMAN WIRTH by Defendants Matthew Penrod, Michael Platte, Lance White. (Attachments: #1 CERTIFICATE OF GOOD STANDING) (Sandner, Michael)
October 23, 2019 Filing 16 RESPONSE in Opposition re #3 MOTION to Expedite Discovery and for a Preliminary Conference DEFENDANTS RESPONSE IN OPPOSITION TO PLAINTIFF'S MOTION FOR EXPEDITED DISCOVERY filed by Defendants Matthew Penrod, Michael Platte, Lance White. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit, #6 Exhibit, #7 Exhibit, #8 Exhibit, #9 Exhibit, #10 Exhibit, #11 Exhibit, #12 Exhibit, #13 Exhibit, #14 Exhibit) (Sandner, Michael) (Main Document and Attachments replaced on 10/24/2019) (er).
October 23, 2019 Filing 15 MOTION to Expedite EXPEDITED MOTION TO COMPEL ARBITRATION AND STAY PROCEEDINGS by Defendants Matthew Penrod, Michael Platte, Lance White. (Attachments: #1 Memorandum of Law, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit, #6 Exhibit, #7 Exhibit, #8 Exhibit, #9 Exhibit, #10 Exhibit, #11 Exhibit, #12 Exhibit, #13 Exhibit) (Sandner, Michael) (Main Document and All Attachments replaced on 10/24/2019) (er).
October 21, 2019 Opinion or Order Filing 14 NOTATION ORDER terminating #7 Motion for Leave to Appear Pro Hac Vice of Joseph B. Alonso, granting #11 Amended Motion for Leave to Appear Pro Hac Vice of Joseph B. Alonso, and granting #12 Motion for Leave to Appear Pro Hac Vice of Joseph D. Shelley. By Magistrate Judge Elizabeth Preston Deavers on 10/21/2019. (ew)
October 18, 2019 Filing 13 NOTICE of Appearance by Sana Ahmed for Plaintiff UBS Financial Services Inc. (Ahmed, Sana)
October 18, 2019 Filing 12 MOTION for Leave to Appear Pro Hac Vice (Filing fee of $200 paid, receipt number 0648-7160054) of Joseph D. Shelley by Defendants Matthew Penrod, Michael Platte, Lance White. (Attachments: #1 CERTIFICATE OF GOOD STANDING) (Sandner, Michael)
October 18, 2019 Filing 11 Amended MOTION to Amend/Correct #7 MOTION for Leave to Appear Pro Hac Vice (Filing fee of $200 paid, receipt number 0648-7154750) of Joseph B. Alonso by Defendants Matthew Penrod, Michael Platte, Lance White. (Attachments: #1 CERTIFICATE OF GOOD STANDING) (Sandner, Michael)
October 17, 2019 Filing 10 NOTICE of Hearing: Status Conference set for 10/28/2019 02:00 PM in Teleconference before Magistrate Judge Elizabeth Preston Deavers. (sln)
October 17, 2019 NOTICE - Initial Conference scheduled for 10/18/19 at 10:00 a.m. before Judge Michael H. Watson is VACATED. (jk)
October 16, 2019 NOTICE of Hearing - Initial Conference (via telephone) reset for 10/18/2019 at 10:00 a.m. (time change only) before Judge Michael H. Watson. (jk)
October 16, 2019 NOTICE of Hearing - Initial Conference via telephone set for 10/18/2019 at 11:00 a.m. before Judge Michael H. Watson. (jk)
October 16, 2019 Set Deadlines: Deficiency Deadline by 10/30/2019. (ew)
October 16, 2019 Filing 9 NOTICE of Deficiency re #7 Motion for Leave to Appear Pro Hac Vice of Joseph B. Alonso. (ew)
October 16, 2019 Opinion or Order Filing 8 ORDER OF RECUSAL. Judge James L. Graham recused. Case randomly reassigned by the Clerk to Judge Michael H. Watson for all further proceedings. Signed by Judge James L. Graham on 10/16/19. (sem)
October 15, 2019 Filing 7 MOTION for Leave to Appear Pro Hac Vice (Filing fee of $200 paid, receipt number 0648-7154750) of Joseph B. Alonso by Defendants Matthew Penrod, Michael Platte, Lance White. (Attachments: #1 CERTIFICATE) (Sandner, Michael)
October 15, 2019 Filing 6 NOTICE of Appearance by Michael W Sandner for Defendants Matthew Penrod, Michael Platte, Lance White (Sandner, Michael)
October 15, 2019 Filing 5 Summons Issued as to Matthew Penrod, Michael Platte and Lance White. (er)
October 15, 2019 Filing 4 REQUEST for Issuance of Summons. as to all Defendants (Attachments: #1 Summons Form for Defendant White, #2 Summons Form for Defendant Penrod) (Hiller, Jeffrey) (Main Document & Attachments replaced on 10/15/2019) (er).
October 11, 2019 Filing 3 MOTION to Expedite Discovery and for a Preliminary Conference by Plaintiff UBS Financial Services Inc.. (Attachments: #1 Declaration of Erik Puffenberger) (Hiller, Jeffrey)
October 11, 2019 Filing 2 Corporate Disclosure Statement by Plaintiffs UBS Financial Services Inc., UBS Americas Inc., UBS Americas Holding LLC, UBS AG, UBS Group AG identifying Corporate Parent UBS AG, Corporate Parent UBS Americas Inc., Corporate Parent UBS Americas Holding LLC, Corporate Parent UBS Group AG for UBS Financial Services Inc... (Hiller, Jeffrey)
October 11, 2019 Filing 1 COMPLAINT for Injunctive Relief against All Defendants ( Filing fee $ 400 paid - receipt number: 0648-7152926), filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit A - Michael Platte Confidentiality Agreement, #2 Exhibit B - Matthew Penrod Confidentiality Agreement, #3 Exhibit C - Lance White Confidentiality Agreement, #4 Exhibit D - Michael Platte Branch Office Manager Agreement, #5 Exhibit E - Lance White Deferred Cash Award Agreement, #6 Exhibit F - Matthew Penrod Deferred Cash Award Agreement, #7 Exhibit G - Michael Platte Deferred Cash Award Agreement, #8 Exhibit H - Financial Advisor Team Agreement, #9 Exhibit I - Private Wealth Advisor Partnering Agreement, #10 Civil Cover Sheet) (Hiller, Jeffrey)

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Search for this case: UBS Financial Services Inc. v. Platte et al
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Defendant: Lance White
Represented By: Joseph B. Alonso
Represented By: Michael W Sandner
Represented By: Joseph D. Shelley
Represented By: Daniel H. Wirth
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Defendant: Michael Platte
Represented By: Joseph B. Alonso
Represented By: Michael W Sandner
Represented By: Joseph D. Shelley
Represented By: Daniel H. Wirth
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Defendant: Matthew Penrod
Represented By: Joseph B. Alonso
Represented By: Michael W Sandner
Represented By: Joseph D. Shelley
Represented By: Daniel H. Wirth
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Plaintiff: UBS Financial Services Inc.
Represented By: Jeffrey S Hiller
Represented By: Sana Ahmed
Represented By: Chad J Kaldor
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