D.L. Markham, DDS, 401(K) Plan v. Variable Annuity Life Ins. Co., et al.,
| D.L. Markham, DDS, MSD, Inc. 401(K) Plan and D.L. Markham, DDS, MSD, Inc. |
| Variable Annuity Life Insurance Company, Valic Financial Advisors Inc and VALIC Retirement Services Company |
| 4:2022cv00974 |
| March 25, 2022 |
| US District Court for the Southern District of Texas |
| Houston Office |
| Sim Lake |
| Labor: E.R.I.S.A. |
| 29 U.S.C. § 1132 E.R.I.S.A.-Employee Benefits |
| None |
Docket Report
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This docket was last retrieved on October 5, 2022. A more recent docket listing may be available from PACER.
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Filing 59
RESPONSE in Opposition to #56 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM , filed by D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan. (Attachments: #1 Exhibit Exh. 1: Westlaw Cases per Court Procedure No. 5(I), #2 Proposed Order Denying VALIC Financial Advisors' Motion to Dismiss)(Baker, Christopher)
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Filing 58
RESPONSE in Opposition to #55 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM , filed by D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan. (Attachments: #1 Exhibit Exh. 1: Westlaw Cases per Court Procedure No. 5(I), #2 Unredacted attachment Request for Judicial Notice in Support of Opposition, #3 Proposed Order Denying VALIC's Motion to Dismiss and Motion to Strike)(Baker, Christopher)
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Filing 57
Mail Returned Undeliverable as to attorney Michael Paul Curtis as to D.L. Markham, DDS, MSD, Inc. re: #48 Order on Motion to Appear Pro Hac Vice, filed. (RochelleLimon, 2)
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Filing 56
MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by Valic Financial Advisors Inc, filed. Motion Docket Date 5/13/2022. (Attachments: #1 Exhibit 1)(McDowell, David)
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Filing 55
MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by Variable Annuity Life Insurance Company, filed. Motion Docket Date 5/13/2022. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(McDowell, David)
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Filing 54
CERTIFICATE OF INTERESTED PARTIES by D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan, filed.(Baker, Christopher)
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Filing 53
ORDER - Granting #52 Motion for Adam Kmett to Appear Pro Hac Vice for D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan. (Signed by Judge Sim Lake) Parties notified.(sanderson, 4)
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Filing 52
MOTION for Adam Kmett to Appear Pro Hac Vice by D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan, filed. Motion Docket Date 5/6/2022. (Kmett, Adam)
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Filing 51
ORDER - Granting #50 Agreed MOTION to Dismiss VRSCO. ORDERED that Defendant VALIC Retirement Services Company is DISMISSED from the Complaint and this lawsuit without prejudice; that Count II of the Complaint is DISMISSED as to defendant VALIC FINANCIAL ADVISORS, Inc. without prejudice; and that all parties shall bear their own costs and fees with respect to this agreed dismissal...*** VALIC Retirement Services Company terminated, Attorney David T. McDowell, PHV; Elizabeth P. Wroblewski, PHV; Charan M Higbee and David T McDowell terminated(Signed by Judge Sim Lake) Parties notified.(sanderson, 4)
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Filing 50
Agreed MOTION to Dismiss VRSCO by Variable Annuity Life Insurance Company, filed. Motion Docket Date 5/5/2022. (Attachments: #1 Proposed Order)(McDowell, David)
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Filing 49
ORDER - Granting #46 Motion for David F. Crutcher to Appear Pro Hac Vice for D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan. (Signed by Judge Sim Lake) Parties notified.(sanderson, 4)
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Filing 48
ORDER - Granting #45 Motion for Robert A. Dolinko to Appear Pro Hac Vice for D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan. (Signed by Judge Sim Lake) Parties notified.(sanderson, 4)
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Filing 47
ORDER - Granting #44 Motion for Chris D. Baker to Appear Pro Hac Vice for D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan. (Signed by Judge Sim Lake) Parties notified.(sanderson, 4)
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Filing 46
MOTION for David F. Crutcher to Appear Pro Hac Vice by D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan, filed. Motion Docket Date 5/3/2022. (Crutcher, David)
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Filing 45
MOTION for Robert A. Dolinko to Appear Pro Hac Vice by D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan, filed. Motion Docket Date 5/2/2022. (Dolinko, Robert)
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Filing 44
MOTION for Chris D. Baker to Appear Pro Hac Vice by D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan, filed. Motion Docket Date 5/2/2022. (Baker, Christopher)
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Filing 43
ORDER - Granting #42 Motion for Charan M. Higbee to Appear Pro Hac Vice for VALIC Retirement Services Company, Valic Financial Advisors Inc, Variable Annuity Life Insurance Company. (Signed by Judge Sim Lake) Parties notified.(sanderson, 4)
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Filing 42
MOTION for Charan M. Higbee to Appear Pro Hac Vice by VALIC Retirement Services Company, Valic Financial Advisors Inc, Variable Annuity Life Insurance Company, filed. Motion Docket Date 4/29/2022. (Higbee, Charan)
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Filing 41
CERTIFICATE OF INTERESTED PARTIES by VALIC Retirement Services Company, Valic Financial Advisors Inc, Variable Annuity Life Insurance Company, filed.(McDowell, David)
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Filing 40
ORDER for Initial Pretrial and Scheduling Conference and Order to Disclose Interested Persons. Initial Conference set for 7/29/2022 at 02:00 PM in Courtroom 9B before Judge Sim Lake. (Signed by Judge Sim Lake) Parties notified.(sanderson, 4)
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Filing 39
ORDER GRANTING #38 Unopposed MOTION for Extension of Time To Set Briefing Schedule. Deadline for defendants to file responsive pleadings 4/22/2022. Deadline for plaintiffs to respond to responsive pleadings 5/23/2022. Deadline for defendants to file reply in support of responsive pleadings 6/6/2022.(Signed by Judge Sim Lake) Parties notified.(rkonieczny, 4)
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Filing 38
Unopposed MOTION for Extension of Time To Set Briefing Schedule by Variable Annuity Life Insurance Company, filed. Motion Docket Date 4/25/2022. (Attachments: #1 Proposed Order)(McDowell, David)
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Filing 37
Case transferred in from California Eastern. Case Number 2:21-cv-00007; certified copy of transfer order, certified docket sheet, and transfer letter received
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Filing 36
ORDER signed by District Judge Troy L. Nunley on 3/24/2022 GRANTING #18 Motion to Transfer Venue and DENYING as moot #19 , #20 Motions to Dismiss. The Court hereby TRANSFERS the instant action to the U.S. District Court for the Southern District of Texas. CASE TRANSFERRED. (Huang, H)
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Filing 35
NOTICE of CHANGE of ADDRESS by Charan M. Higbee. (Higbee, Charan)
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Filing 34
PRO HAC VICE ORDER signed by District Judge Troy L. Nunley on 2/17/22 GRANTING #33 Application for Pro Hac Vice. Added Attorney Elizabeth P. Wroblewski, PHV for VALIC Financial Advisors, Inc., VALIC Retirement Services Company and Variable Annuity Life Insurance Company. The Pro Hac Vice attorney is directed to request electronic filing access through PACER. (Kastilahn, A)
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Filing 33
PRO HAC VICE APPLICATION and PROPOSED ORDER submitted by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company for attorney Elizabeth Wroblewski to appear Pro Hac Vice. (Filing fee $ 225, receipt number ACAEDC-10080224) (Attachments: #1 Exhibit Certificate of Good Standing)(Higbee, Charan)
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Filing 32
ORDER signed by Magistrate Judge Kendall J. Newman on 2/15/2022 GRANTING #29 Motion for Protective Order. The parties shall continue discussing their discovery obligations in case the district judge finds some of plaintiffs' claims can move forward, with or without amendment, and after the district judge has ruled on the motions to dismiss, the parties shall file a brief joint statement with the KJN indicating their position. (Reader, L)
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Filing 31
MINUTES (Text Only) for proceedings held via video conference (Zoom) before Magistrate Judge Kendall J. Newman: MOTION HEARING held on 2/15/2022. Counsel for parties present. The Court addressed the parties regarding the Defendants' Motion for Protective Order to Stay Discovery (ECF No. #29 ). After hearing from parties and for reasons stated on the record, the motion was submitted. Order to issue. Plaintiffs' Counsel Michael Curtis and David Crutcher present. Defendants' Counsel Charan Higbee, David McDowell, and Elizabeth Wroblewski (observing) present. Court Reporter: Kimberly Bennett. (Waldrop, A)
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Filing 30
DECLARATION of Michael Curtis in opposition to #29 Motion for Protective Order. (Curtis, Michael)
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Filing 29
MOTION for PROTECTIVE ORDER to Stay Discovery by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company. Motion Hearing set for 2/15/2022 at 09:00 AM in Courtroom 25 (KJN) before Magistrate Judge Kendall J. Newman. (Attachments: #1 Joint Statement, #2 Declaration of Eric Levy)(McDowell, David)
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Filing 28
REPLY by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company re #24 Opposition to Motion. (McDowell, David)
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Filing 27
REPLY by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company re #23 Opposition to Motion. (McDowell, David)
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Filing 26
REPLY by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company re #22 Opposition to Motion. (Attachments: #1 Declaration of Charan M. Higbee, #2 Exhibit A)(Higbee, Charan)
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Filing 25
MINUTE ORDER issued by Courtroom Deputy M. Krueger for District Judge Troy L. Nunley on 4/2/2021: On the Court's own motion, Defendants' Motion to Change Venue and Motions to Dismiss (ECF Nos. #18 , #19 and #20 ) are hereby SUBMITTED without oral argument. Accordingly, the hearing set for 4/15/2021 is VACATED. If the Court determines oral argument is necessary, it will be scheduled at a later date. Defendants may still file a reply briefs in accordance with Local Rule 230(d) and the 4/15/2021 date. (TEXT ONLY ENTRY) (Krueger, M)
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Filing 24
OPPOSITION by D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan to #19 Motion to Dismiss. (Crutcher, David)
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Filing 23
OPPOSITION by D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan to #20 Motion to Dismiss. (Attachments: #1 Request for Judicial Notice)(Curtis, Michael)
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Filing 22
OPPOSITION by D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan to #18 Motion to Change Venue. (Attachments: #1 Declaration of Dr. Markham, #2 Declaration of Mike Curtis)(Curtis, Michael)
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Filing 21
[DISREGARD - FILED IN ERROR] INITIAL DISCLOSURES pursuant to FRCP 26(a)(1) by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company. (Higbee, Charan) Modified on 3/26/2021 (Benson, A.).
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Filing 20
MOTION to DISMISS by Variable Annuity Life Insurance Company. Motion Hearing set for 4/15/2021 at 02:00 PM in Courtroom 2 (TLN) before District Judge Troy L. Nunley. (Attachments: #1 Declaration of Eric Levy, #2 Points and Authorities)(McDowell, David) Modified on 3/2/2021 (Kaminski, H).
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Filing 19
MOTION to DISMISS by VALIC Financial Advisors, Inc., VALIC Retirement Services Company. Motion Hearing set for 4/15/2021 at 02:00 PM in Courtroom 2 (TLN) before District Judge Troy L. Nunley. (Attachments: #1 Points and Authorities, #2 Request for Judicial Notice)(McDowell, David) Modified on 3/1/2021 (Kaminski, H).
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Filing 18
MOTION to CHANGE VENUE by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company. Motion Hearing set for 4/15/2021 at 02:00 PM in Courtroom 2 (TLN) before District Judge Troy L. Nunley. (Attachments: #1 Declaration of Eric Levy, #2 Points and Authorities, #3 Request for Judicial Notice)(Higbee, Charan) Modified on 3/1/2021 (Kaminski, H).
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Filing 17
STIPULATION and ORDER signed by District Judge Troy L. Nunley on 2/17/2021 ORDERING that the VALIC Defendants shall have a second extension to and including 3/1/2021 to answer or otherwise respond to #1 Complaint. (Huang, H)
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Filing 16
SECOND STIPULATION and PROPOSED ORDER for Extending Time for Defendants to Respond to Plaintiffs' Complaint by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company. (Higbee, Charan) Modified on 2/18/2021 (Kastilahn, A).
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Filing 15
AMENDED SCHEDULING ORDER signed by District Judge Troy L. Nunley on 2/17/2021 pursuant to 2/8/2021 Minute Order. (Tupolo, A)
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Filing 14
PROPOSED ORDER re Joint Proposed Amended Scheduling Order re Minute Order (ECF No. 13) , by D.L. Markham, DDS, MSD, Inc., D.L. Markham, DDS, MSD, Inc. 401(K) Plan. (Curtis, Michael) Modified on 2/17/2021 (Kastilahn, A).
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Filing 13
MINUTE ORDER issued by Courtroom Deputy M. Krueger for District Judge Troy L. Nunley on 2/8/2021: The Court has read and considered the parties' joint statement identifying this case as an ERISA and putative class action. (ECF No. #10 .) Accordingly, the parties are ordered to submit a proposed amended scheduling order setting forth proposed deadlines for discovery, class certification, and any other relevant dates for this matter within seven (7) days of this Order. (Text Only Entry) (Krueger, M)
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Filing 12
PRO HAC VICE ORDER signed by District Judge Troy L. Nunley on 2/5/2021 ADDING attorney David T. McDowell, PHV for all Defendants. (Huang, H)
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Filing 11
PRO HAC VICE APPLICATION and PROPOSED ORDER submitted by All Defendants for attorney David T. McDowell to appear Pro Hac Vice. (Filing fee $ 225, receipt number 0972-9401609) (Attachments: #1 Certificate of Good Standing)(Higbee, Charan) Modified on 2/8/2021 (Huang, H).
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Filing 10
JOINT STATEMENT of Identifying Type of Case: ERISA and Putative Class Action filed by Defendants VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company. (Higbee, Charan)
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Filing 9
NOTICE OF INTERESTED PARTIES by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company. (Higbee, Charan)
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Filing 8
STIPULATION to Extend Time to Respond to Complaint #1 by The Variable Annuity Life Insurance Company, VALIC Financial Advisors, Inc., VALIC Retirement Services Company. Attorney Higbee, Charan M. added. (Higbee, Charan) Modified on 1/29/2021 (Reader, L).
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Filing 7
NOTICE OF INTERESTED PARTIES by All Plaintiffs. (Baker, Christopher)
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Filing 6
SUMMONS RETURNED EXECUTED: VALIC Retirement Services Company served on 1/5/2021, answer due 1/26/2021. (Baker, Christopher)
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Filing 5
SUMMONS RETURNED EXECUTED: VALIC Financial Advisors, Inc. served on 1/5/2021, answer due 1/26/2021. (Baker, Christopher)
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Filing 4
SUMMONS RETURNED EXECUTED: The Variable Annuity Life Insurance Company (VALIC) served on 1/5/2021, answer due 1/26/2021. (Baker, Christopher)
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Filing 3
SUMMONS ISSUED as to *The Variable Annuity Life Insurance Company (VALIC), VALIC Financial Advisors, Inc., VALIC Retirement Services Company* with answer to complaint due within *21* days. Attorney *Christopher D. Baker* *Baker Curtis & Schwartz, P.C.* *1 California St., Suite 1250* *San Francisco, CA 94111*. (Benson, A.)
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Filing 2
CIVIL NEW CASE DOCUMENTS ISSUED; (Attachments: #1 Consent Form, #2 VDRP) (Benson, A.)
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Filing 1
COMPLAINT against All Defendants by D.L. Markham, DDS, MSD, Inc. 401(K) Plan, D.L. Markham, DDS, MSD, Inc., as plan administrator. Attorney Baker, Christopher D. added. (Filing fee $ 402, receipt number 0972-9335280) (Attachments: #1 Civil Cover Sheet)(Baker, Christopher)
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