D.L. Markham, DDS, 401(K) Plan v. Variable Annuity Life Ins. Co., et al.,
Plaintiff: D.L. Markham, DDS, MSD, Inc. 401(K) Plan and D.L. Markham, DDS, MSD, Inc.
Defendant: Variable Annuity Life Insurance Company, Valic Financial Advisors Inc and VALIC Retirement Services Company
Case Number: 4:2022cv00974
Filed: March 25, 2022
Court: US District Court for the Southern District of Texas
Office: Houston Office
Presiding Judge: Sim Lake
Nature of Suit: Labor: E.R.I.S.A.
Cause of Action: 29 U.S.C. ยง 1132 E.R.I.S.A.-Employee Benefits
Jury Demanded By: None
Docket Report

This docket was last retrieved on October 5, 2022. A more recent docket listing may be available from PACER.

Date Filed Document Text
May 23, 2022 Opinion or Order 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)
May 23, 2022 Opinion or Order 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)
May 9, 2022 Opinion or Order 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)
April 22, 2022 Opinion or Order 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)
April 22, 2022 Opinion or Order 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)
April 18, 2022 Opinion or Order 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)
April 18, 2022 Opinion or Order 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)
April 15, 2022 Opinion or Order 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)
April 15, 2022 Opinion or Order 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)
April 14, 2022 Opinion or Order 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)
April 12, 2022 Opinion or Order 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)
April 12, 2022 Opinion or Order 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)
April 12, 2022 Opinion or Order 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)
April 12, 2022 Opinion or Order 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)
April 11, 2022 Opinion or Order 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)
April 11, 2022 Opinion or Order 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)
April 11, 2022 Opinion or Order 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)
April 8, 2022 Opinion or Order 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)
April 7, 2022 Opinion or Order Filing 41 CERTIFICATE OF INTERESTED PARTIES by VALIC Retirement Services Company, Valic Financial Advisors Inc, Variable Annuity Life Insurance Company, filed.(McDowell, David)
April 4, 2022 Opinion or Order 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)
April 4, 2022 Opinion or Order 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)
April 4, 2022 Opinion or Order 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)
March 25, 2022 Opinion or Order 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
March 25, 2022 Opinion or Order 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)
March 17, 2022 Opinion or Order Filing 35 NOTICE of CHANGE of ADDRESS by Charan M. Higbee. (Higbee, Charan)
February 18, 2022 Opinion or Order 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)
February 16, 2022 Opinion or Order 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)
February 16, 2022 Opinion or Order 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)
February 15, 2022 Opinion or Order 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)
February 4, 2022 Opinion or Order Filing 30 DECLARATION of Michael Curtis in opposition to #29 Motion for Protective Order. (Curtis, Michael)
February 4, 2022 Opinion or Order 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)
April 8, 2021 Opinion or Order Filing 28 REPLY by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company re #24 Opposition to Motion. (McDowell, David)
April 8, 2021 Opinion or Order Filing 27 REPLY by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company re #23 Opposition to Motion. (McDowell, David)
April 8, 2021 Opinion or Order 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)
April 2, 2021 Opinion or Order 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)
April 1, 2021 Opinion or Order 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)
April 1, 2021 Opinion or Order 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)
April 1, 2021 Opinion or Order 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)
March 26, 2021 Opinion or Order 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.).
March 1, 2021 Opinion or Order 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).
March 1, 2021 Opinion or Order 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).
March 1, 2021 Opinion or Order 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).
February 18, 2021 Opinion or Order 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)
February 17, 2021 Opinion or Order 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).
February 17, 2021 Opinion or Order 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)
February 16, 2021 Opinion or Order 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).
February 8, 2021 Opinion or Order 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)
February 8, 2021 Opinion or Order 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)
February 5, 2021 Opinion or Order 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).
February 3, 2021 Opinion or Order 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)
February 2, 2021 Opinion or Order Filing 9 NOTICE OF INTERESTED PARTIES by VALIC Financial Advisors, Inc., VALIC Retirement Services Company, Variable Annuity Life Insurance Company. (Higbee, Charan)
January 25, 2021 Opinion or Order 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).
January 19, 2021 Opinion or Order Filing 7 NOTICE OF INTERESTED PARTIES by All Plaintiffs. (Baker, Christopher)
January 6, 2021 Opinion or Order Filing 6 SUMMONS RETURNED EXECUTED: VALIC Retirement Services Company served on 1/5/2021, answer due 1/26/2021. (Baker, Christopher)
January 6, 2021 Opinion or Order Filing 5 SUMMONS RETURNED EXECUTED: VALIC Financial Advisors, Inc. served on 1/5/2021, answer due 1/26/2021. (Baker, Christopher)
January 6, 2021 Opinion or Order Filing 4 SUMMONS RETURNED EXECUTED: The Variable Annuity Life Insurance Company (VALIC) served on 1/5/2021, answer due 1/26/2021. (Baker, Christopher)
January 4, 2021 Opinion or Order 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.)
January 4, 2021 Opinion or Order Filing 2 CIVIL NEW CASE DOCUMENTS ISSUED; (Attachments: #1 Consent Form, #2 VDRP) (Benson, A.)
January 4, 2021 Opinion or Order 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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Search for this case: D.L. Markham, DDS, 401(K) Plan v. Variable Annuity Life Ins. Co., et al.,
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Plaintiff: D.L. Markham, DDS, MSD, Inc. 401(K) Plan
Represented By: David F. Crutcher
Represented By: Michael Paul Curtis
Represented By: Christopher D. Baker
Represented By: Adam Kmett
Represented By: Christopher D Baker
Represented By: Robert Allan Dolinko
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Plaintiff: D.L. Markham, DDS, MSD, Inc.
Represented By: David F. Crutcher
Represented By: Michael Paul Curtis
Represented By: Christopher D. Baker
Represented By: Adam Kmett
Represented By: Christopher D Baker
Represented By: Robert Allan Dolinko
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Defendant: Variable Annuity Life Insurance Company
Represented By: Charan M Higbee
Represented By: David T. McDowell, PHV
Represented By: Elizabeth P. Wroblewski, PHV
Represented By: David T McDowell
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Defendant: Valic Financial Advisors Inc
Represented By: Charan M Higbee
Represented By: David T. McDowell, PHV
Represented By: Elizabeth P. Wroblewski, PHV
Represented By: David T McDowell
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Defendant: VALIC Retirement Services Company
Represented By: Charan M Higbee
Represented By: David T. McDowell, PHV
Represented By: Elizabeth P. Wroblewski, PHV
Represented By: David T McDowell
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