PFS Investments Inc. v. Thompson, Timothy
| PFS Investments Inc. |
| Timothy Thompson |
| 3:2023cv00050 |
| January 20, 2023 |
| US District Court for the Western District of Wisconsin |
| William M Conley |
| Stephen L Crocker |
| Other Statutory Actions |
| 18 U.S.C. § 1836 Violation of Defend Trade Secrets Act |
| None |
Docket Report
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This docket was last retrieved on March 13, 2023. A more recent docket listing may be available from PACER.
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Filing 44
JUDGMENT entered in favor of defendant Timothy Thompson dismissing this case without prejudice. (lam)
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Filing 43
ORDER denying #3 Plaintiff PFS Investments Inc.'s motion for a temporary restraining order or preliminary injunctive relief. Signed by District Judge William M. Conley on 3/2/2023. (lam)
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Filing 42
Response re: 36 Text Only Order,,, Response to Defendant's Supplemental Filing (Dkt. 37) Regarding Language for Preliminary Injunction by Plaintiff PFS Investments Inc.. (Attachments: #1 Exhibit A - NASD Notice to Members 02-07, #2 Exhibit B - Wamu Investments, Inc. v. Brandfors, et al., No. 09 2 08081 5 - TRO) (Harrison, Kendall)
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Filing 41
Response re: 36 Text Only Order,,, Response to Plaintiff's Additional Analysis on DM Trans, LLC V. Scott and Irreparable Harm by Defendant Timothy Thompson. (Attachments: #1 Exhibit A - FINRA Rule 11870) (Alonso, Joseph)
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Filing 40
Transcript of Injunctive Hearing, held 2/16/2023 before Judge William M. Conley. Court Reporter: PH. Please review the court's policy regarding electronic transcripts of court proceedings: see #Electronic Transcript Instructions. (lam)
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Filing 39
Response re: 36 Text Only Order,,, Proposed Preliminary Injunction Order by Plaintiff PFS Investments Inc.. (Harrison, Kendall)
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Filing 38
Response re: 36 Text Only Order,,, Additional Analysis on DM Trans, LLC v. Scott and Irreparable Harm by Plaintiff PFS Investments Inc.. (Attachments: #1 Exhibit A - Memorandum Opinion and Order, DM Trans, LLC v. Scott) (Harrison, Kendall)
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Filing 37
Supplement to #24 Brief in Opposition, filed by Timothy Thompson (Attachments: #1 Exhibit A - FINRA Rule 2140, #2 Exhibit B - FINRA Rule 2273, #3 Exhibit C - FINRA Regulatory Notice 16-18, #4 Exhibit D - FINRA Regulatory Notice 19-10, #5 Exhibit E - FINRA Award 09-02224) (Alonso, Joseph) Modified on 2/21/2023: E-mail sent to counsel. (lak)
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Filing 36
** TEXT ONLY ORDER **Plaintiff may have until Monday, February 20, 2023 to file with the court: (1) specific language of a proposed preliminary injunction, narrowed to the issues discussed at today's hearing; and (2) an analysis of the Seventh Circuit's decision in DM Trans, LLC v. Scott, 38 F.4th 608 (7th Cir. 2022), and in particular, the court of appeals' discussion of irreparable harm. Defendant may have until Monday, February 20, 2023 to file with the court proposed language that he wants included in any preliminary injunction, as well as legal support for his proposal. Both parties may have until Wednesday, February 22, 2023, to respond to each other's submissions. Signed by District Judge William M. Conley on 2/16/2023. (lam)
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Filing 35
Minute Entry for proceedings held before District Judge William M. Conley: Injunctive Hearing held on 2/16/2023 re #3 Motion for Temporary Restraining Order filed by PFS Investments Inc. [1:38] (Court Reporter FTR recording.) (jef)
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Filing 34
** TEXT ONLY ORDER **ORDER granting #31 Motion to Admit Carson Leigh Wynn Pro Hac Vice. Signed by Magistrate Judge Stephen L. Crocker on 2/15/2023. (lak)
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Filing 33
Notice of Supplemental Authority by Plaintiff PFS Investments Inc. re #3 Motion for Temporary Restraining Order . (Attachments: #1 Attachment 1 - PFS Fin. Servs., Inc. & Primerica Fin. Servs., LLC v. Mitchell D. Stevens III, #2 Attachment 2 - Primerica Fin. Servs., Inc. v. Fallon et al., #3 Attachment 3 - Primerica Fin. Servs., Inc. v. John Bille, Gary Gordon and Jeffrey Lewis) (Harrison, Kendall) Modified on 2/14/2023. (lak)
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Filing 32
Brief in Reply by Plaintiff PFS Investments Inc. in Support of #3 Motion for TRO (Attachments: #1 Exhibit A - Merrill Lynch v. Akre & Baxter - Order and Motion Hearing Transcript) (Harrison, Kendall) Modified on 2/15/2023. (lak)
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Filing 31
Motion to Admit Carson Leigh Wynn Pro Hac Vice. ( Pro Hac Vice fee $ 100 receipt number AWIWDC-3197427.) by Defendant Timothy Thompson. (Wynn, Carson)
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Filing 30
Deposition of Taylor Jesse Thompson taken on Jan. 6, 2023(Condensed Version of Dkt. 7). (Harrison, Kendall)
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Filing 29
Deposition of Timothy Andrew Thompson taken on Jan. 4, 2023 (Condensed Version of Dkt. 6). (Attachments: #1 Exhibit 17 - Tim Thompson 000073 - 91 (redacted)) (Harrison, Kendall)
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Filing 28
** TEXT ONLY ORDER **Plaintiff's motion for leave to file a reply brief (dkt. #27 ) is GRANTED. The reply brief must be filed by February 14 at 12:00 pm, and must be limited to the two issues identified in plaintiff's motion. Signed by District Judge William M. Conley on 2/10/23. (jat)
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Filing 27
Motion for Leave to File - Permission to File a Reply Brief in Support of its Motion for a Temporary Restraining Order by Plaintiff PFS Investments Inc.. (Harrison, Kendall)
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Filing 26
Declaration of Timothy Thompson filed by Defendant Timothy Thompson re: #3 Motion for TRO (Attachments: #1 Exhibit September 22, 2022 Letter, #2 Exhibit CAFN 22-A01331 Gwinnett County Georgia Affidavit of Tim Thompson, #3 Exhibit FINRA Statement of Claim, #4 Exhibit Subpoena for Deposition and Documents) (Alonso, Joseph)
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Filing 25
Response to Proposed Findings of Fact filed by Defendant Timothy Thompson re: #3 Motion for TRO (Alonso, Joseph)
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Filing 24
Brief in Opposition by Defendant Timothy Thompson re: #3 Motion for TRO filed by PFS Investments Inc. (Attachments: #1 Exhibit A- Order UBS v. Kenney 22-cv-06917 Northern District of Illinois, #2 Exhibit B- FINRA Rule 2140, #3 Exhibit C- FINRA Regulatory Notice 16-18, #4 Exhibit D- FINRA Award 09-02224, #5 Exhibit E- FINRA Regulatory Notice 07-55) (Alonso, Joseph)
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Filing 23
** TEXT ONLY ORDER **Defendant's unopposed motion for extension of time (dkt. #21 ) is GRANTED. Defendant's brief in opposition to plaintiff's motion for a temporary restraining order is extended to February 9, 2023. The court will hold a hearing on the motion on February 16, 2023 at 11:00 a.m. Signed by District Judge William M. Conley on 1/27/23. (jat)
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Filing 22
** TEXT ONLY ORDER **ORDER granting #20 Motion to Admit Joseph B. Alonso Pro Hac Vice. Signed by Magistrate Judge Stephen L. Crocker on 1/27/2023. (lak)
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Filing 21
Unopposed Motion for Extension of Time to File Defendant's Response to Plaintiff's Motion for Temporary Restraining Order and to Postpone the Hearing on Said Motion by Defendant Timothy Thompson. Motions referred to Magistrate Judge Stephen L. Crocker. (Alonso, Joseph)
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Filing 20
Motion to Admit Joseph Alonso Pro Hac Vice. ( Pro Hac Vice fee $ 100 receipt number AWIWDC-3187039.) by Defendant Timothy Thompson. Motions referred to Magistrate Judge Stephen L. Crocker. (Alonso, Joseph)
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Filing 19
** TEXT ONLY ORDER **ORDER granting #18 Motion to Admit Matthew I. Penfield Pro Hac Vice. Signed by Magistrate Judge Stephen L. Crocker on 1/25/2023. (lak)
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Filing 18
Motion to Admit Matthew Penfield Pro Hac Vice. ( Pro Hac Vice fee $ 100 receipt number AWIWDC-3185732.) by Plaintiff PFS Investments Inc.. Motions referred to Magistrate Judge Stephen L. Crocker. (Penfield, Matthew)
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Filing 17
** TEXT ONLY ORDER **ORDER granting #16 Stipulated Motion Concerning the Briefing Schedule on Plaintiff's Motion for a Temporary Restraining Order. Signed by District Judge William M. Conley on 1/23/23. (jat)
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Filing 16
Stipulated Motion Concerning the Briefing Schedule on Plaintiff's Motion for a Temporary Restraining Order by Plaintiff PFS Investments Inc.. (Harrison, Kendall)
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Filing 15
Summons Issued as to Timothy Thompson. (lak)
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Standard attachments for Judge William M. Conley required to be served on all parties with summons or waiver of service: # NORTC, #Corporate Disclosure Statement. (lak)
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Case randomly assigned to District Judge William M. Conley and Magistrate Judge Stephen L. Crocker. (lak)
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Set Deadlines as to #3 Motion for Temporary Restraining Order. #Procedure to be followed on Motions for Injunctive Relief attached. Brief in Opposition due 1/30/2023. Injunctive Hearing set for 2/2/2023 at 10:00 AM. (jat)
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Filing 14
Notice by Plaintiff PFS Investments Inc. re #3 Motion for Temporary Restraining Order - Rule 65 Certification. (Harrison, Kendall)
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Filing 13
Declaration of Kimberly Geiger filed by Plaintiff PFS Investments Inc. re: #3 Motion for TRO (Attachments: #1 Exhibit POL License and Use Agreement) (Harrison, Kendall) Modified on 1/21/2023: Caption? (lak)
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Filing 12
Affidavit of Kristopher Lee Kowalski filed by Plaintiff PFS Investments Inc. re: #3 Motion for TRO (Harrison, Kendall) Modified on 1/21/2023: Caption? (lak)
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Filing 11
Declaration of Mark Heim filed by Plaintiff PFS Investments Inc. re: #3 Motion for TRO (Harrison, Kendall) Modified on 1/21/2023: Caption? (lak)
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Filing 10
Declaration of Donna Travis filed by Plaintiff PFS Investments Inc. re: #3 Motion for TRO (Harrison, Kendall) Modified on 1/21/2023: Caption? (lak)
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Filing 9
Declaration of Sheri Morgan filed by Plaintiff PFS Investments Inc. re: #3 Motion for TRO (Harrison, Kendall) Modified on 1/21/2023: Caption? (lak)
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Filing 8
Declaration of Robert H. Peterman filed by Plaintiff PFS Investments Inc. re: #3 Motion for TRO (Attachments: #1 Exhibit A - Compensation Reports, #2 Exhibit B - Basic Agreement, #3 Exhibit C - RVP Agreement, #4 Exhibit D - Registered Representative Agreement, #5 Exhibit E - Operating Guideline, #6 Exhibit F - Termination Letters) (Harrison, Kendall) Modified on 1/21/2023: Caption? (lak)
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Filing 7
Deposition of Taylor Jesse Thompson taken on Jan. 6, 2023. (Harrison, Kendall) Modified on 1/21/2023: Condensed format? (lak)
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Filing 6
Deposition of Timothy Andrew Thompson taken on Jan. 4, 2023. (Attachments: #1 Exhibit Exhibit 17 - Tim Thompson 000073-91 (redacted)) (Harrison, Kendall) Modified on 1/21/2023: Condensed format? (lak)
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Filing 5
Proposed Findings of Fact filed by Plaintiff PFS Investments Inc. re: #3 Motion for TRO (Harrison, Kendall)
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Filing 4
Brief in Support of #3 Motion for TRO by Plaintiff PFS Investments Inc. (Attachments: #1 Exhibit Charnot - Agreed Order of Permanent Injunction, #2 Exhibit Chussler Order - Jan. 1996 - Preliminary Injunction, #3 Exhibit Experior, Arturi, DeLio and Dubeau - Permanent_Injunction, #4 Exhibit PFS v. Bustos - Order Granting Plaintiffs' Motion for Preliminary Injunction, #5 Exhibit PFS v. Cortez Lee - TRO, #6 Exhibit PFS v. Dan Brandfast - Restr. Order, #7 Exhibit PFS v. Herring and Fulcher - Preliminary Injunction, #8 Exhibit PFS v. Jernigan - Preliminary Injunction, #9 Exhibit PFS v. King, Ballard, Phillips - Restraining Order, #10 Exhibit PFS v. Palmer - Preliminary Injunction, #11 Exhibit Roe, Bettenhausen & DeMarco - Agreed Order of Permanent Injunction, #12 Exhibit PFS v. Hibbs - Stipulated Injunction, #13 Exhibit PFS v. Weihrauch - Stipulated Permanent Injunction) (Harrison, Kendall)
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Filing 3
Motion for Temporary Restraining Order by Plaintiff PFS Investments Inc.. (Harrison, Kendall)
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Filing 2
COMPLAINT against Timothy Thompson. ( Filing fee $ 402 receipt number 5263096.), filed by PFS Investments Inc.. (Attachments: #1 Exhibit A -Basic Agreement with PFS, #2 Exhibit B - RVP Agreement, #3 Exhibit C - Registered Representative Agreement, #4 JS-44 Civil Cover Sheet, #5 Summons) (Harrison, Kendall) Modified on 1/20/2023: County. (lak)
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Filing 1
Corporate Disclosure Statement by Plaintiff PFS Investments Inc.. (Harrison, Kendall)
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| Plaintiff: PFS Investments Inc. | |
| Represented By: | Kendall W. Harrison |
| Represented By: | Matthew Penfield |
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| Defendant: Timothy Thompson | |
| Represented By: | Joseph Alonso |
| Represented By: | Carson Leigh Wynn |
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