Spartan Capital Securities, LLC et al v. Wookey et al

Plaintiff: Robert Murray, Spartan Capital Securities, LLC and John Lowry
Defendant: Kathy Wookey and Thomas Wookey
Case Number: 5:2018cv05070
Filed: September 21, 2018
Court: US District Court for the District of South Dakota
Presiding Judge: Jeffrey L Viken
Nature of Suit: Other Statutes: Arbitration
Cause of Action: 28:2201
Jury Demanded By: None

Docket Report

This docket was last retrieved on November 13, 2018. A more recent docket listing may be available from PACER.

Date Filed Document Text
November 13, 2018 Opinion or Order Filing 19 ORDER. Signed by Chief Judge Jeffrey L. Viken on 11/13/18. (SB)
November 9, 2018 Filing 18 STIPULATION re #5 MOTION to Vacate Arbitration Award by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew)
November 8, 2018 Filing 17 NOTICE of Appearance by John S. Theeler on behalf of All Defendants. (Theeler, John)
November 8, 2018 NOTICE of Filing Error: #16 Notice of Appearance was filed in error and should be disregarded. (Rylance, Richard)
November 8, 2018 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).
November 8, 2018 Filing 15 NOTICE of Appearance by Richard J. Rylance, II on behalf of All Defendants. (Rylance, Richard)
November 6, 2018 Opinion or Order 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)
November 1, 2018 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)
October 31, 2018 Filing 12 WAIVER OF SERVICE Returned Executed by Spartan Capital Securities, LLC. All Defendants. (Rusch, Matthew)
October 4, 2018 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)
October 4, 2018 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)
October 4, 2018 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)
October 4, 2018 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)
October 4, 2018 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)
October 3, 2018 Filing 6 BRIEF by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #5 MOTION to Vacate Arbitration Award (Rusch, Matthew)
September 24, 2018 Filing 5 MOTION to Vacate Arbitration Award by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew)
September 24, 2018 Filing 4 MOTION to Strike #1 Complaint by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew)
September 21, 2018 Filing Fee Received from John Lowry, Robert Murray, Spartan Capital Securities, LLC. Fee Amount: $400.00, Receipt No.: #0869-2881849. (SLT)
September 21, 2018 Filing 3 RULE 73 MEMORANDUM. (Attachments: #1 AO_085)(SLT)
September 21, 2018 Filing 2 CIVIL COVER SHEET. (SLT)
September 21, 2018 Filing 1 COMPLAINT filed by Spartan Capital Securities, LLC, John Lowry, Robert Murray in shell case on 9/21/2018. (SLT)

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Defendant: Kathy Wookey
Represented By: John S. Theeler
Represented By: Richard J. Rylance, II
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Defendant: Thomas Wookey
Represented By: John S. Theeler
Represented By: Richard J. Rylance, II
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Plaintiff: Robert Murray
Represented By: Matthew V. Rusch
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Plaintiff: Spartan Capital Securities, LLC
Represented By: Matthew V. Rusch
Represented By: Matthew N. Fiorovanti
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Plaintiff: John Lowry
Represented By: Matthew V. Rusch
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