Spartan Capital Securities, LLC et al v. Wookey et al
| Robert Murray, Spartan Capital Securities, LLC and John Lowry |
| Kathy Wookey and Thomas Wookey |
| 5:2018cv05070 |
| September 21, 2018 |
| US District Court for the District of South Dakota |
| Jeffrey L Viken |
| Other Statutes: Arbitration |
| 28 U.S.C. § 2201 |
| None |
Docket Report
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This docket was last retrieved on November 13, 2018. A more recent docket listing may be available from PACER.
| Document Text |
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Filing 19
ORDER. Signed by Chief Judge Jeffrey L. Viken on 11/13/18. (SB)
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| Filing 18 STIPULATION re #5 MOTION to Vacate Arbitration Award by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew) |
| Filing 17 NOTICE of Appearance by John S. Theeler on behalf of All Defendants. (Theeler, John) |
| Filing 16 FILED IN ERROR - NOTICE of Appearance by Richard J. Rylance, II on behalf of All Defendants. (Rylance, Richard) Modified on 11/9/2018 (SKK). |
| Filing 15 NOTICE of Appearance by Richard J. Rylance, II on behalf of All Defendants. (Rylance, Richard) |
| NOTICE of Filing Error: #16 Notice of Appearance was filed in error and should be disregarded. (Rylance, Richard) |
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Filing 14
ORDER granting #13 Motion for Admission Pro Hac Vice of Matthew Fiorovanti. Signed by Chief Judge Jeffrey L. Viken on 11/6/18. (SB)
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| Filing 13 MOTION for Attorney Matthew Fiorovanti to be Admitted Pro Hac Vice (paid $100 PHV fee; receipt number 0869-2911293) by Spartan Capital Securities, LLC. (Rusch, Matthew) |
| Filing 12 WAIVER OF SERVICE Returned Executed by Spartan Capital Securities, LLC. All Defendants. (Rusch, Matthew) |
| Filing 11 SUPPLEMENT by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #10 Supplement,,, #6 Brief, #8 Supplement,,, #9 Supplement,,, #7 Declaration,, . (Attachments: #1 Exhibit 41 - Statement of Claim, #2 Exhibit 42 - Responses and Obj. to Discovery Guide List #2, #3 Exhibit 43 - Email from Kim Monchik, #4 Exhibit 44 - Quality Communications Certification, #5 Exhibit 45 - Spartan Internal Procedures, #6 Exhibit 46 - Spartan Internal Procedures, #7 Exhibit 47 - Statement of Claim, #8 Exhibit 48 - Answer to Statement of Claim, #9 Exhibit 49 - Award) (Rusch, Matthew) |
| Filing 10 SUPPLEMENT by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #6 Brief, #8 Supplement,,, #9 Supplement,,, #7 Declaration,, . (Attachments: #1 Exhibit 31 - Secure Financial Services Report for Jan. 2011 - March 2011, #2 Exhibit 32 - Secure Financial Services Report for March 2011 - July 2012, #3 Exhibit 33 - Secure Financial Services Report for Oct. 2012 - July 2014, #4 Exhibit 34 - Spartan Monthly Account Statements, #5 Exhibit 35 - Confirmation Notices, #6 Exhibit 36 - Spartan Monthly Account Statement, #7 Exhibit 37 - Confirmation Notices, #8 Exhibit 38 - Kathy Wookey Resume, #9 Exhibit 39 - U.S. Tax Returns for 2011 - 2015, #10 Exhibit 40 - Form K-1s for 2010 - 2015) (Rusch, Matthew) |
| Filing 9 SUPPLEMENT by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #6 Brief, #8 Supplement,,, #7 Declaration,, . (Attachments: #1 Exhibit 21 - Brookville Capital Partners Account Summary for May 2014, #2 Exhibit 22 - K.C. Ward Financial Premier Account Statement for Aug. 2015, #3 Exhibit 23 - National Securities Account Statement for April 2014, #4 Exhibit 24 - Aegis Capital Corp. Account Statement for April 2014, #5 Exhibit 25 - K.C. Ward Financial Premier Account Staement for July 2104, #6 Exhibit 26 - K.C. Ward Financial Premier Account Statement for Jan. 2016, #7 Exhibit 27 - Heightened Supervision Checklist, #8 Exhibit 28 - Spartan Daily Blotter, #9 Exhibit 29 - Spartan Daily Blotter, #10 Exhibit 30 - Spartan Ledger for Gross Commissions) (Rusch, Matthew) |
| Filing 8 SUPPLEMENT by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #6 Brief, #7 Declaration,, . (Attachments: #1 Exhibit 11 - Wachovia Open Account Info. and Agreement dated June 2009, #2 Exhibit 12 - BancWest Brokerage Account Statement for April 2011, #3 Exhibit 13 - Penson Financial Services New Account Agreement dated Feb. 2012, #4 Exhibit 14 - RGC Option Agreement and Approval Form dated March 2012, #5 Exhibit 15 - John Thomas Financial New Account Application dated March 2012, #6 Exhibit 16 - J.D. Nicholas & Assoc. Premier Account Statement for May 2013, #7 Exhibit 17 - Brookville Capital Partners Premier Account Statement for Dec. 2013, #8 Exhibit 18 - J.D. Nicholas & Assoc. Premier Account Statement for June 2013, #9 Exhibit 19 - Brookville Capital Partners Account Summary for Jan. 2014, #10 Exhibit 20 - Legend Securities Premier Account Statement for April 2014) (Rusch, Matthew) |
| Filing 7 DECLARATION of Kim Monchik re #6 Brief . (Attachments: #1 Exhibit 1 - February 2011 Application, #2 Exhibit 2 - March 2011 Client Margin Account Agreement, #3 Exhibit 3 - April 2012 Options Client Agreement and Approval Form, #4 Exhibit 4 - October 2012 Account Application, #5 Exhibit 5 - Oct. 2012 Client RBC Express Credit Account Agreement and Application, #6 Exhibit 6 - Oct. 2012 Options Client Agreement, #7 Exhibit 7 - Letters from Spartan Confirming Trades, #8 Exhibit 8 - Wire/payment authorizations, #9 Exhibit 9 - Activity Letters dated 9/22/13 and 3/12/14, #10 Exhibit 10 - 6/25/12 Letter from Defendants to RGC) (Rusch, Matthew) |
| Filing 6 BRIEF by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #5 MOTION to Vacate Arbitration Award (Rusch, Matthew) |
| Filing 5 MOTION to Vacate Arbitration Award by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew) |
| Filing 4 MOTION to Strike #1 Complaint by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew) |
| Filing 3 RULE 73 MEMORANDUM. (Attachments: #1 AO_085)(SLT) |
| Filing 2 CIVIL COVER SHEET. (SLT) |
| Filing 1 COMPLAINT filed by Spartan Capital Securities, LLC, John Lowry, Robert Murray in shell case on 9/21/2018. (SLT) |
| Filing Fee Received from John Lowry, Robert Murray, Spartan Capital Securities, LLC. Fee Amount: $400.00, Receipt No.: #0869-2881849. (SLT) |
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