Case number 1:19-cv-02066
Apex Clearing Corporation v. Axos Financial Inc. et al > Documents
| Date Field | Doc. No. | Description (Pages) |
|---|---|---|
| Mar 21, 2023 | 184 | STIPULATION of Dismissal by Apex Clearing Corporation, Apex Fintech Solutions, LLC. (Vrana, Robert) (Entered: 03/21/2023) (2) |
| Mar 21, 2023 | 185 | SO ORDERED re 184 Stipulation of Dismissal. ***Civil Case Terminated. Signed by Judge Maryellen Noreika on 3/21/2023. (dlw) (Entered: 03/21/2023) (2) |
| Mar 13, 2023 | 183 | STIPULATION TO EXTEND TIME for the parties to file the Amended Proposed Joint Final Pretrial Order to March 21, 2023 - filed by Apex Clearing Corporation. (Vrana, Robert) (Entered: 03/13/2023) (2) |
| Feb 27, 2023 | 182 | STIPULATION TO EXTEND TIME for the parties to file the Amended Proposed Joint Final Pretrial Order to March 14, 2023 - filed by Apex Clearing Corporation. (Vrana, Robert) (Entered: 02/27/2023) (2) |
| Jan 25, 2023 | 181 | NOTICE of Change of Address by Geoffrey Graham Grivner (Grivner, Geoffrey) (Entered: 01/25/2023) (2) |
| Jan 23, 2023 | 180 | NOTICE OF SUBSTITUTION OF COUNSEL re Axos Bank, Axos Clearing LLC, Axos Financial Inc.: Entry of appearance of attorney Geoffrey Graham Grivner. Attorney Brian Biggs terminated. (Grivner, Geoffrey) (Entered: 01/23/2023) (2) |
| Oct 25, 2022 | 179 | AMENDED NOTICE to Take Deposition of Apex Fintech Solutions, LLC on November 15, 2022 filed by Axos Clearing LLC, Axos Financial Inc. (Biggs, Brian) Modified on 10/25/2022 (dlw). (Entered: 10/25/2022) (6) |
| Oct 21, 2022 | 178 | NOTICE OF SERVICE of Apex Fintech Solutions, LLC's First Amended Responses to Axos Financial, Inc. & Axos Clearing LLC's Requests for Admission (Nos. 1-7) filed by Apex Fintech Solutions, LLC.(Vrana, Robert) (Entered: 10/21/2022) (2) |
| Oct 10, 2022 | 177 | NOTICE OF SERVICE of 1) Apex Fintech Solutions, LLC's Responses to Axos Financial, Inc. & Axos Cleraring LLC's Interrogatories (Nos. 1-2); 2) Apex Fintech Solutions, LLC's Responses to Axos Financial, Inc. & Axos Cleraring LLC's Requests for Admission (Nos. 1-7); and 3) Apex Fintech Solutions, LLC's Responses to Axos Financial, Inc. & Axos Cleraring LLC's Requests for Production of Documents and Things (Nos. 1-10) filed by Apex Fintech Solutions, LLC.(Vrana, Robert) (Entered: 10/10/2022) (2) |
| Sep 15, 2022 | 176 | NOTICE to Take Deposition of Apex Fintech Solutions, LLC on November 17, 2022 filed by Axos Clearing LLC, Axos Financial Inc..(Biggs, Brian) (Entered: 09/15/2022) (6) |
| Sep 13, 2022 | 175 | ANSWER to 171 Answer to Amended Complaint, Second Amended Counterclaims by Apex Clearing Corporation, Apex Fintech Solutions, LLC.(Vrana, Robert) Modified on 9/13/2022 (dlw). (Entered: 09/13/2022) (6) |
| Sep 9, 2022 | 174 | NOTICE OF SERVICE of (1) Axos Financial, Inc. and Axos Clearing LLC's Interrogatories to Apex Fintech Solutions, LLC (Nos. 1-2), (2) Axos Financial, Inc. and Axos Clearing LLC's Requests for Production of Documents and Things to Apex Fintech Solutions, LLC (Nos. 1-10); and (3) Axos Financial, Inc. and Axos Clearing LLC's Request for Admission to Apex Fintech Solutions, LLC (Nos. 1-7) filed by Axos Clearing LLC, Axos Financial Inc..(Biggs, Brian) (Entered: 09/09/2022) (2) |
| Sep 7, 2022 | 172 | Joint STATUS REPORT Concerning Limited Discovery and Anticipated Trial Date by Apex Clearing Corporation, Apex Fintech Solutions, LLC. (Vrana, Robert) Modified on 9/7/2022 (dlw). (Entered: 09/07/2022) (6) |
| Sep 7, 2022 | 173 | SUPPLEMENTAL SCHEDULING ORDER: A Pretrial Conference is set for 3/28/2023 at 04:30 PM in Courtroom 4A before Judge Maryellen Noreika. A 2 day Bench Trial is set for 4/4/2023 at 09:00 AM in Courtroom 4A before Judge Maryellen Noreika. SEE ORDER FOR DISCOVERY DEADLINES. Signed by Judge Maryellen Noreika on 9/7/2022. (dlw) (Entered: 09/07/2022) (2) |
| Aug 30, 2022 | 171 | Main Document (22) Docket Text: ANSWER, Affirmative Defenses, and Second Amended COUNTERCLAIMS to Second Amended Complaint re: [170] Amended Complaint against Apex Clearing Corporation, Apex Fintech Solutions, LLC by Axos Financial Inc., Axos Clearing LLC. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D, # (5) Exhibit E, # (6) Exhibit F)(Biggs, Brian) Modified on 8/31/2022 (dlw). |
| Aug 30, 2022 | 171 | Exhibit A (8) |
| Aug 30, 2022 | 171 | Exhibit B (26) |
| Aug 30, 2022 | 171 | Exhibit C (54) |
| Aug 30, 2022 | 171 | Exhibit D (17) |
| Aug 30, 2022 | 171 | Exhibit E (6) |
| Aug 30, 2022 | 171 | Exhibit F (5) |
| Aug 16, 2022 | 170 | Main Document (15) Docket Text: Second AMENDED COMPLAINT for Trademark Infringement against Axos Clearing LLC, Axos Financial Inc.- filed by Apex Clearing Corporation, Apex Fintech Solutions, LLC. (Attachments: # (1) Exhibit A, # (2) Redline)(Vrana, Robert) Modified on 8/16/2022 (dlw). |
| Aug 16, 2022 | 170 | Exhibit A (3) |
| Aug 16, 2022 | 170 | Redline (14) |
| Aug 8, 2022 | 169 | Memorandum and Order (7) Docket Text: MEMORANDUM ORDER GRANTING [162] MOTION for Leave to File Second Amended Complaint, DENYING AS MOOT [157] MOTION to Dismiss - IT IS HEREBY ORDERED that Apex's Motion for Leave to Amend and Supplement (D.I. 162) is GRANTED and Apex's Motion to Dismiss (D.I. 157) is DENIED-AS-MOOT. The parties shall file a status report that includes a plan for the limited discovery as well as the parties' position as to when this case will be ready for trial by September 7, 2022. Signed by Judge Maryellen Noreika on 8/8/2022. (dlw) |
| Feb 8, 2022 | 168 | Main Document (9) Docket Text: REPLY BRIEF re [162] MOTION for Leave to File Second Amended Complaint filed by Apex Clearing Corporation. (Attachments: # (1) Text of Proposed Order)(Vrana, Robert) |
| Feb 8, 2022 | 168 | Text of Proposed Order (1) |
| Feb 4, 2022 | 167 | Letter (1) Docket Text: Letter to The Honorable Maryellen Noreika from Brian A. Biggs regarding Request for oral argument - re [157] MOTION to Dismiss for Lack of Jurisdiction Over the Subject Matter. (Biggs, Brian) |
| Feb 1, 2022 | 166 | Brief (Combined Answering and Reply) (16) Docket Text: BRIEF (Combined Answering and Reply) // Defendants Axos Financial, Inc. and Axos Clearing LLC's Combined Reply in Support of Motion to Dismiss Plaintiff's First Amended Complaint For Lack of Standing and Response in Opposition to Plaintiff's Motion for Leave to Amend and Supplement re[162] MOTION for Leave to File Second Amended Complaint, [157] MOTION to Dismiss for Lack of Jurisdiction Over the Subject Matter filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc. Reply Brief due date per Local Rules is 2/8/2022. (Biggs, Brian) Modified on 2/2/2022 (dlw). |
| Jan 20, 2022 | 165 | Transcript (9) Docket Text: Official Transcript of Teleconference held on 12/01/2021 before Judge Maryellen Noreika. Court Reporter/Transcriber Dale C. Hawkins,Email: Dale_Hawkins@ded.uscourts.gov. Transcript may be viewed at the court public terminal or order/purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date, it may be obtained through PACER. Redaction Request due 2/10/2022. Redacted Transcript Deadline set for 2/22/2022. Release of Transcript Restriction set for 4/20/2022. (dh) |
| Jan 11, 2022 | 162 | Main Document (3) Docket Text: MOTION for Leave to File Second Amended Complaint - filed by Apex Clearing Corporation. (Attachments: # (1) Text of Proposed Order, # (2) Exhibit A - Proposed Second Amended Complaint, # (3) Exhibit B - Redline)(Vrana, Robert) Modified on 1/12/2022 (dlw). |
| Jan 11, 2022 | 162 | Text of Proposed Order (1) |
| Jan 11, 2022 | 162 | Exhibit A - Proposed Second Amended Complaint (14) |
| Jan 11, 2022 | 162 | Exhibit B - Redline (16) |
| Jan 11, 2022 | 163 | Brief (Combined Opening and Answering) (19) Docket Text: BRIEF (Combined Opening and Answering) re[162] MOTION for Leave to File Second Amended Complaint, [157] MOTION to Dismiss for Lack of Jurisdiction Over the Subject Matter filed by Apex Clearing Corporation. Answering Brief/Response due date per [156] Stipulation and Order is 2/1/2022. Reply Brief due date per [156] Stipulation and Order is 2/1/2022. (Vrana, Robert) Modified on 1/12/2022 (dlw). |
| Jan 11, 2022 | 164 | Declaration (3) Docket Text: DECLARATION of William W. Capuzzi re [163] Brief (Combined Opening and Answering by Apex Clearing Corporation. (Vrana, Robert) Modified on 1/12/2022 (dlw). |
| Dec 28, 2021 | 160 | Main Document (22) Docket Text: REDACTED VERSION of [158] Opening Brief in Support by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Attachments: # (1) Certificate of Service)(Biggs, Brian) Modified on 1/3/2022 (dlw). |
| Dec 28, 2021 | 160 | Certificate of Service (1) |
| Dec 28, 2021 | 161 | Main Document (2) Docket Text: REDACTED VERSION of [159] Declaration by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Certificate of Service)(Biggs, Brian) Modified on 1/3/2022 (dlw). |
| Dec 28, 2021 | 161 | Exhibit A (3) |
| Dec 28, 2021 | 161 | Exhibit B (12) |
| Dec 28, 2021 | 161 | Exhibit C (6) |
| Dec 28, 2021 | 161 | Certificate of Service (1) |
| Dec 21, 2021 | 157 | Main Document (2) Docket Text: MOTION to Dismiss for Lack of Jurisdiction Over the Subject Matter - filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Attachments: # (1) Text of Proposed Order)(Biggs, Brian) Modified on 12/22/2021 (dlw). |
| Dec 21, 2021 | 157 | Text of Proposed Order (1) |
| Dec 9, 2021 | 156 | SO ORDERED (3) Docket Text: SO ORDERED WITH MODIFICATIONS (to page limits) re [155] Stipulation and Order regarding briefing on standing issue (Set Briefing Schedule: Opening Brief due 12/21/2021. Combined Answering Brief/Opening due 1/11/2022. Combined Reply/Answering Brief due 2/1/2022. Reply Brief due by 2/8/2022). Signed by Judge Maryellen Noreika on 12/9/2021. (dlw) |
| Dec 8, 2021 | 155 | Stipulation (3) Docket Text: Joint STIPULATION and Proposed order regarding briefing schedule on the standing issue by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Biggs, Brian) Modified on 12/9/2021 (dlw). |
| Dec 1, 2021 | N/A | Telephone Conference (0) Docket Text: Minute Entry for proceedings held before Judge Maryellen Noreika - Telephone Conference held on 12/1/2021 re letter ([152]). After discussion on the jurisdiction issue raised by the defendants, the parties shall brief the issue. The pretrial conference and bench trial are REMOVED from the Court's calendar and will be rescheduled at a later time. A proposed briefing schedule is due within one week from today. (Court Reporter Dale Hawkins.) (mdb) |
| Dec 1, 2021 | N/A | Order Setting Teleconference (0) Docket Text: ORAL ORDER Setting Teleconference: IT IS HEREBY ORDERED that a Telephone Conference is set for TODAY 12/1/2021 at 02:00 PM before Judge Maryellen Noreika. Counsel shall provide a teleconference dial-in number and code for the teleconference by emailing this Court's judicial administrator. ORDERED by Judge Maryellen Noreika on 12/1/2021. (dlw) |
| Nov 24, 2021 | 153 | Redacted Document (30) Docket Text: REDACTED VERSION of [151] Proposed Pretrial Order by Apex Clearing Corporation. (Vrana, Robert) |
| Nov 23, 2021 | 152 | Letter (2) Docket Text: Letter to The Honorable Maryellen Noreika from Brian A. Biggs regarding Apex Clearing Standing - re [151] Proposed Pretrial Order. (Biggs, Brian) |
| Nov 4, 2021 | 150 | Order Setting Mediation Conferences (7) Docket Text: ORDER Setting Mediation Conference: A Mediation Conference is set for 12/16/2021 at 10:00 AM before Judge Christopher J. Burke. To the extent this Order refers to an in-person appearance, the parties' participation shall be via telephone or via video conference. Counsel shall submit to Judge Burke two paper copies of their Confidential Mediation statements by December 9, 2021 and provide the Court with the names of all participants and the appropriate video conference links or dial-in information as well as a link for the morning's joint mediation orientation by no later than the due date of the Confidential Mediation Statements. Signed by Judge Christopher J. Burke on 11/4/2021. (dlb) |
| Oct 18, 2021 | 149 | Order Setting Mediation Conferences (5) Docket Text: ORDER Setting Mediation Conference: A Telephone Conference is set for 11/1/2021 at 10:00 AM before Judge Christopher J. Burke. Signed by Judge Christopher J. Burke on 10/18/2021. (dlb) |
| Oct 4, 2021 | 148 | SO ORDERED (4) Docket Text: SO ORDERED re [147] Stipulation and Order Regarding Pretrial Exchange Schedule. Signed by Judge Maryellen Noreika on 10/4/2021. (dlw) |
| Oct 1, 2021 | 147 | Stipulation (5) Docket Text: STIPULATION and [PROPOSED] Order Regarding Pretrial Exchange Schedule by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Biggs, Brian) Modified on 10/4/2021 (dlw). |
| Sep 29, 2021 | N/A | CORRECTING ENTRY: (0) Docket Text: CORRECTING ENTRY: The docket text of the Court's 9/28/2021 Oral Order has been updated. A bench trial is set to begin on 1/10/2022. The actual number of trial dates will be determined at the pretrial conference. (dlw) |
| Sep 28, 2021 | N/A | Terminate Scheduling Order Deadlines (0) Docket Text: ORAL ORDER - IT IS HEREBY ORDERED that the 1/10/2022 jury trial has been RESET to a bench trial. (RESET Scheduling Order Deadlines: A Bench Trial set for 1/10/2022 at 09:30 AM in Courtroom 4A before Judge Maryellen Noreika). ORDERED by Judge Maryellen Noreika on 9/28/2021. (dlw) Modified on 9/29/2021 (dlw). |
| Sep 28, 2021 | 146 | SO ORDERED (3) Docket Text: SO ORDERED re [145] Stipulation and Order to Withdraw Jury Demands. Signed by Judge Maryellen Noreika on 9/28/2021. (dlw) |
| Sep 27, 2021 | 145 | Stipulation (3) Docket Text: STIPULATION and [Proposed] Order to Withdraw Jury Demands by Apex Clearing Corporation. (Vrana, Robert) |
| Sep 24, 2021 | 144 | Memorandum and Order (4) Docket Text: MEMORANDUM ORDER DENYING [98] MOTION to Exclude the Purported Expert Opinions of Mumford and Distler, DENYING [100] MOTION for Summary Judgment (Counts 1 through 4), and DENYING-IN-PART and GRANTING-IN-PART [104] MOTION for Summary Judgment (all claims and counterclaims). Signed by Judge Maryellen Noreika on 9/24/2021. (dlw) |
| Sep 16, 2021 | 143 | Redacted Document (5) Docket Text: REDACTED VERSION of [141] Statement by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Biggs, Brian) Modified on 9/16/2021 (dlw). |
| Sep 9, 2021 | 139 | Letter (1) Docket Text: Letter to The Honorable Maryellen Noreika from Brian A. Biggs regarding (1) Plaintiff Axos Banks Motion for Summary Judgment (D.I. 100), and (2) Defendants and Counterclaimants Axos Financial, Inc. and Axos Clearing LLC's Motion for Summary Judgment (D.I. 104). (Biggs, Brian) |
| Sep 9, 2021 | N/A | Oral Order (0) Docket Text: ORAL ORDER re [139] Letter - Having reviewed Axos's letter, IT IS HEREBY ORDERED that Axox shall file the required Paragraph 9(b) statement no later than 6:00 PM today. ORDERED by Judge Maryellen Noreika on 9/9/2021. (dlw) |
| Sep 9, 2021 | 142 | Statement (5) Docket Text: STATEMENT re [118] Statement // Plaintiff Axos Bank's Paragrapy-By-Paragraph Responses to Apex's Statement of Disputed Facts (In the Trademark Case Filed by Axos) by Axos Bank. (Biggs, Brian) Modified on 9/16/2021 (dlw). |
| Aug 31, 2021 | 135 | Redacted Document (16) Docket Text: REDACTED VERSION of [132] Reply Brief by Axos Clearing LLC, Axos Financial Inc. (Biggs, Brian) Modified on 8/31/2021 (dlw). |
| Aug 31, 2021 | 136 | Redacted Document (15) Docket Text: REDACTED VERSION of [133] Reply Brief by Axos Bank. (Biggs, Brian) Modified on 8/31/2021 (dlw). |
| Aug 31, 2021 | 137 | Main Document (3) Docket Text: REDACTED VERSION of [134] Declaration by Axos Bank. (Attachments: # (1) Exhibit 1)(Biggs, Brian) Modified on 8/31/2021 (dlw). |
| Aug 31, 2021 | 137 | Exhibit 1 (1) |
| Aug 31, 2021 | 138 | Letter (1) Docket Text: Letter to The Honorable Maryellen Noreika from Brian A. Biggs regarding Request for Oral Argument - re [104] MOTION for Summary Judgment (all claims and counterclaims), [100] MOTION for Summary Judgment (Counts 1 through 4). (Biggs, Brian) |
| Aug 24, 2021 | 131 | Reply Brief (9) Docket Text: REPLY BRIEF re [98] MOTION to Exclude the Purported Expert Opinions of Mumford and Distler filed by Apex Clearing Corporation. (Vrana, Robert) |
| Aug 10, 2021 | 125 | Redacted Document (20) Docket Text: REDACTED VERSION of [115] Answering Brief in Opposition by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Biggs, Brian) Modified on 8/10/2021 (dlw). |
| Aug 10, 2021 | 126 | Main Document (3) Docket Text: REDACTED VERSION of [116] Declaration by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2, # (3) Exhibit 3, # (4) Exhibit 4, # (5) Exhibit 5)(Biggs, Brian) Modified on 8/10/2021 (dlw). |
| Aug 10, 2021 | 126 | Exhibit 1 (3) |
| Aug 10, 2021 | 126 | Exhibit 2 (4) |
| Aug 10, 2021 | 126 | Exhibit 3 (9) |
| Aug 10, 2021 | 126 | Exhibit 4 (3) |
| Aug 10, 2021 | 126 | Exhibit 5 (5) |
| Aug 10, 2021 | 127 | Redacted Document (25) Docket Text: REDACTED VERSION of [117] Answering Brief in Opposition, by Apex Clearing Corporation. (Vrana, Robert) |
| Aug 10, 2021 | 128 | Redacted Document (8) Docket Text: REDACTED VERSION of [118] Statement by Apex Clearing Corporation. (Vrana, Robert) |
| Aug 10, 2021 | 129 | Redacted Document (30) Docket Text: REDACTED VERSION of [120] Declaration, by Apex Clearing Corporation. (Vrana, Robert) |
| Aug 10, 2021 | 130 | Redacted Document (30) Docket Text: REDACTED VERSION of [124] Declaration by Apex Clearing Corporation. (Vrana, Robert) |
| Aug 3, 2021 | 119 | Statement (6) Docket Text: STATEMENT re [102] Statement // Apex's Response to Axos' Concise Statement of Undisputed Facts by Apex Clearing Corporation. (Vrana, Robert) Modified on 8/4/2021 (dlw). |
| Aug 3, 2021 | 121 | Answering Brief in Opposition (27) Docket Text: ANSWERING BRIEF in Opposition re [104] MOTION for Summary Judgment (all claims and counterclaims) filed by Apex Clearing Corporation. Reply Brief due date per [94] Stipulation and Order is 8/24/2021. (Vrana, Robert) Modified on 8/4/2021 (dlw). |
| Aug 3, 2021 | 122 | Statement (6) Docket Text: STATEMENT re [121] Answering Brief in Opposition // Apex's Separate Concise Statement of Material Facts as to Which There is a Genuine Issue by Apex Clearing Corporation. (Vrana, Robert) Modified on 8/4/2021 (dlw). |
| Aug 3, 2021 | 123 | Statement (6) Docket Text: STATEMENT re [106] Statement // Apex's Response to Axos' Concise Statement of Facts by Apex Clearing Corporation. (Vrana, Robert) Modified on 8/4/2021 (dlw). |
| Jul 21, 2021 | N/A | CORRECTING ENTRY: (0) Docket Text: CORRECTING ENTRY: At the request of counsel, Exhibits 11 and 20 to D.I. 107 have been replaced on the docket. (dlw) |
| Jul 20, 2021 | 108 | Redacted Document (30) Docket Text: REDACTED VERSION of [99] Declaration, by Apex Clearing Corporation. (Vrana, Robert) |
| Jul 20, 2021 | 109 | Redacted Document (18) Docket Text: REDACTED VERSION of [101] Opening Brief in Support by Axos Bank. (Biggs, Brian) Modified on 7/21/2021 (dlw). |
| Jul 20, 2021 | 110 | Redacted Document (11) Docket Text: REDACTED VERSION of [102] Statement by Axos Bank. (Biggs, Brian) Modified on 7/21/2021 (dlw). |
| Jul 20, 2021 | 111 | Main Document (6) Docket Text: REDACTED VERSION of [103] Declaration by Axos Bank. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2, # (3) Exhibit 3, # (4) Exhibit 4, # (5) Exhibit 5, # (6) Exhibit 6, # (7) Exhibit 7, # (8) Exhibit 8, # (9) Exhibit 9-10, # (10) Exhibit 11, # (11) Exhibit 12-30, # (12) Exhibit 31, # (13) Exhibit 32-38)(Biggs, Brian) Modified on 7/21/2021 (dlw). |
| Jul 20, 2021 | 111 | Exhibit 1 (1) |
| Jul 20, 2021 | 111 | Exhibit 2 (2) |
| Jul 20, 2021 | 111 | Exhibit 3 (3) |
| Jul 20, 2021 | 111 | Exhibit 4 (3) |
| Jul 20, 2021 | 111 | Exhibit 5 (8) |
| Jul 20, 2021 | 111 | Exhibit 6 (2) |
| Jul 20, 2021 | 111 | Exhibit 7 (35) |
| Jul 20, 2021 | 111 | Exhibit 8 (14) |
| Jul 20, 2021 | 111 | Exhibit 9-10 (1) |
| Jul 20, 2021 | 111 | Exhibit 11 (5) |
| Jul 20, 2021 | 111 | Exhibit 12-30 (1) |
| Jul 20, 2021 | 111 | Exhibit 31 (11) |
| Jul 20, 2021 | 111 | Exhibit 32-38 (1) |
| Jul 20, 2021 | 112 | Redacted Document (26) Docket Text: REDACTED VERSION of [105] Opening Brief in Support by Axos Clearing LLC, Axos Financial Inc. (Biggs, Brian) Modified on 7/21/2021 (dlw). |
| Jul 20, 2021 | 113 | Redacted Document (10) Docket Text: REDACTED VERSION of [106] Statement by Axos Clearing LLC, Axos Financial Inc. (Biggs, Brian) Modified on 7/21/2021 (dlw). |
| Jul 20, 2021 | 114 | Main Document (5) Docket Text: REDACTED VERSION of [107] Declaration by Axos Clearing LLC, Axos Financial Inc. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2, # (3) Exhibit 3, # (4) Exhibit 4, # (5) Exhibit 5, # (6) Exhibit 6-7, # (7) Exhibit 8, # (8) Exhibit 9, # (9) Exhibit 10, # (10) Exhibit 11-15, # (11) Exhibit 16, # (12) Exhibit 17-19, # (13) Exhibit 20, # (14) Exhibit 21, # (15) Exhibit 22)(Biggs, Brian) Modified on 7/21/2021 (dlw). |
| Jul 20, 2021 | 114 | Exhibit 1 (1) |
| Jul 20, 2021 | 114 | Exhibit 2 (4) |
| Jul 20, 2021 | 114 | Exhibit 3 (2) |
| Jul 20, 2021 | 114 | Exhibit 4 (1) |
| Jul 20, 2021 | 114 | Exhibit 5 (4) |
| Jul 20, 2021 | 114 | Exhibit 6-7 (1) |
| Jul 20, 2021 | 114 | Exhibit 8 (11) |
| Jul 20, 2021 | 114 | Exhibit 9 (15) |
| Jul 20, 2021 | 114 | Exhibit 10 (5) |
| Jul 20, 2021 | 114 | Exhibit 11-15 (1) |
| Jul 20, 2021 | 114 | Exhibit 16 (11) |
| Jul 20, 2021 | 114 | Exhibit 17-19 (1) |
| Jul 20, 2021 | 114 | Exhibit 20 (504) |
| Jul 20, 2021 | 114 | Exhibit 21 (3) |
| Jul 20, 2021 | 114 | Exhibit 22 (4) |
| Jul 13, 2021 | 98 | Main Document (11) Docket Text: MOTION to Exclude the Purported Expert Opinions of Mumford and Distler - filed by Apex Clearing Corporation. (Attachments: # (1) Text of Proposed Order)(Gaza, Anne) Modified on 7/21/2021 (dlw). |
| Jul 13, 2021 | 98 | Text of Proposed Order (1) |
| Jul 13, 2021 | 100 | Motion for Summary Judgment (4) Docket Text: MOTION for Summary Judgment (Counts 1 through 4) - filed by Axos Bank. (Biggs, Brian) Modified on 7/21/2021 (dlw). |
| Jul 13, 2021 | 104 | Motion for Summary Judgment (4) Docket Text: MOTION for Summary Judgment (all claims and counterclaims) - filed by Axos Clearing LLC, Axos Financial Inc. (Biggs, Brian) Modified on 7/21/2021 (dlw). |
| Jun 22, 2021 | 97 | Notice to Take Deposition (2) Docket Text: NOTICE to Take Deposition of Apex Clearing Corporation 30(b)(6) on June 30, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| Jun 16, 2021 | 96 | Notice Requesting Removal of Co-Counsel (3) Docket Text: NOTICE requesting Clerk to remove Bryce Persichetti as co-counsel.. (Vrana, Robert) |
| Jun 4, 2021 | 95 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Reply Expert Report of Carrie L. Distler in case captioned Axos Bank v. Apex Clearing Corp. filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| May 7, 2021 | 93 | Stipulation to EXTEND Time (3) Docket Text: STIPULATION TO EXTEND TIME [Multiple Deadlines] to [Various Dates] - filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Freund, Kelly) |
| May 7, 2021 | 94 | SO ORDERED (3) Docket Text: SO ORDERED re [93] STIPULATION TO EXTEND Scheduling Order Deadlines (Set/Reset Scheduling Order Deadlines: Reply Expert Reports due 6/4/2021. Expert Discovery due by 6/23/2021. Dispositive Motions due by 7/13/2021. Answering Brief due 8/3/2021. Reply Brief due 8/24/2021. The Pretrial Conference is RESET for 12/21/2021 at 01:00 PM in Courtroom 4A before Judge Maryellen Noreika). Signed by Judge Maryellen Noreika on 5/7/2021. (dlw) |
| May 5, 2021 | 91 | Notice to Take Deposition (4) Docket Text: NOTICE to Take Deposition of Carrie L. Distler on May 27, 2021 filed by Apex Clearing Corporation.(Vrana, Robert) |
| May 5, 2021 | 92 | Notice to Take Deposition (4) Docket Text: NOTICE to Take Deposition of E. Bruce Mumford on May 25, 2021 filed by Apex Clearing Corporation.(Vrana, Robert) |
| Apr 30, 2021 | 90 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Expert Rebuttal Report of Carrie L. Distler filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| Apr 23, 2021 | 89 | Transcript (10) Docket Text: Official Transcript of Teleconference held on 4/12/21 before Judge Maryellen Noreika. Court Reporter Dale C. Hawkins,Email: Dale_Hawkins@ded.uscourts.gov. Transcript may be viewed at the court public terminal or order/purchased through the Court Reporter before the deadline for Release of Transcript Restriction. After that date, it may be obtained through PACER. Redaction Request due 5/14/2021. Redacted Transcript Deadline set for 5/24/2021. Release of Transcript Restriction set for 7/22/2021. (Triozzi, Heather) |
| Apr 12, 2021 | N/A | Telephone Conference (0) Docket Text: Minute Entry for proceedings held before Judge Maryellen Noreika - Discovery Dispute Telephone Conference re Sealed Letters (DI's 85, 86) held on 4/12/2021. The Motion to Compel is GRANTED-IN-PART. The transcript shall serve as the court's ruling. (Court Reporter: Dale Hawkins.) (asw) |
| Apr 12, 2021 | 88 | Main Document (5) Docket Text: REDACTED VERSION of [86] Letter by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Attachments: # (1) Exhibit A)(Biggs, Brian) Modified on 4/12/2021 (dlw). |
| Apr 12, 2021 | 88 | Exhibit A (9) |
| Apr 9, 2021 | 87 | Redacted Document (30) Docket Text: REDACTED VERSION of [85] Letter, by Apex Clearing Corporation. (Vrana, Robert) |
| Mar 31, 2021 | 84 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of (1) Expert Report of E. Bruce Mumford in case captioned Apex Clearing Corp. v. Axos Financial, Inc. and Axos Clearing LLC; and (2) Expert Report of Carrie L. Distler in case captioned Axos Bank v. Apex Clearing Corp. filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| Mar 8, 2021 | N/A | Order Setting Teleconference (0) Docket Text: ORAL ORDER Setting Teleconference: Having been advised by the parties of their inability to resolve discovery disputes, IT IS HEREBY ORDERED that a discovery dispute telephone conference is set for 4/12/2021 at 2:00 PM before Judge Maryellen Noreika. The opening letter(s) (not to exceed three (3) pages) is due on or before 4/2/2021 and the responsive letter(s) (not to exceed three (3) pages) is due on or before 4/5/2021. Counsel shall provide dial-in credentials for the teleconference by emailing this Court's judicial administrator. Ordered by Judge Maryellen Noreika on 3/8/2021. (asw) |
| Feb 26, 2021 | 82 | Notice of Service (3) Docket Text: NOTICE OF SERVICE of Axos Financial Inc., Axos Clearing LLC, and Axos Bank's Supplemental Initial Disclosures filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| Feb 26, 2021 | 83 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Defendant Axos Fiinancial, Inc. and Axos Clearing LLC's Fourth Supplemental Answers and Objections to Plaintiff's First Set of Interrogatories (Nos. 1-16) filed by Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| Feb 22, 2021 | 79 | Notice to Take Deposition (11) Docket Text: AMENDED NOTICE of Deposition of Axos Clearing LLC Pursuant to Fed. R. Civ. P. 30(b)(6) on February 23, 2021 filed by Apex Clearing Corporation.(Vrana, Robert) Modified on 2/23/2021 (dlw). |
| Feb 22, 2021 | 80 | Notice to Take Deposition (12) Docket Text: AMENDED NOTICE of Deposition of Axos Financial Inc. Pursuant to Fed. R. Civ. P. 30(b)(6) on February 24, 2021 filed by Apex Clearing Corporation. (Vrana, Robert) Modified on 2/23/2021 (dlw). |
| Feb 22, 2021 | 81 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of 1) Apex Clearing Corporation's Supplemental Responses to Axos Bank's Interrogatory No. 13 and 2) Apex Clearing Corporation's Second Supplemental Responses to Axos Financial Inc. & Axos Clearing LLC's Interrogatory No. 1 filed by Apex Clearing Corporation.(Vrana, Robert) |
| Feb 19, 2021 | N/A | SO ORDERED (0) Docket Text: SO ORDERED re [77] MOTION for Pro Hac Vice Appearance of Attorney Gregory C. Schodde, Esquire filed by Apex Clearing Corporation. ORDERED by Judge Maryellen Noreika on 2/19/2021. (dlw) |
| Feb 19, 2021 | 77 | Motion for Leave to Appear Pro Hac Vice (5) Docket Text: MOTION for Pro Hac Vice Appearance of Attorney Gregory C. Schodde, Esquire - filed by Apex Clearing Corporation. (Vrana, Robert) |
| Feb 19, 2021 | 78 | Main Document (2) Docket Text: AMENDED NOTICE to Take Deposition of Jenny Just on February 26, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Attachments: # (1) A)(Freund, Kelly) Modified on 2/22/2021 (dlw). |
| Feb 19, 2021 | 78 | A (27) |
| Feb 18, 2021 | 75 | Main Document (2) Docket Text: AMENDED NOTICE to Take Deposition of William Capuzzi on February 24, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Attachments: # (1) A)(Freund, Kelly) Modified on 2/18/2021 (dlw). |
| Feb 18, 2021 | 75 | A (27) |
| Feb 18, 2021 | 76 | Notice to Take Deposition (4) Docket Text: NOTICE to Take Deposition of Ron Pitters on February 23, 2021 filed by Apex Clearing Corporation.(Vrana, Robert) |
| Feb 17, 2021 | 72 | Notice of Service (3) Docket Text: NOTICE OF SERVICE of 1) Apex Clearing Corporation's Responses to Axos Financial Inc. & Axos Clearing LLC's Second Set of Interrogatories (Nos. 11-13); 2) Apex Clearing Corporation's Responses to Axos Bank's Third Requests for Production of Documents and Things (Nos. 27-30); 3) Apex Clearing Corporation's Responses to Axos Bank's First Set of Requests for Admission (Nos. 1-13); 4) Apex Clearing Corporation's Responses to Axos Bank's Second Set of Interrogatories (Nos. 11-17); 5) Apex Clearing Corporation's Responses to Axos Financial Inc. & Axos Clearing LLC's First Set of Requests for Admission (Nos. 1-11); and 6) Apex Clearing Corporation's Responses to Axos Financial Inc. & Axos Clearing LLC's Second Requests for Production of Documents and Things (Nos. 29-38) filed by Apex Clearing Corporation.(Vrana, Robert) |
| Feb 17, 2021 | 73 | Answer to Counterclaim (9) Docket Text: ANSWER to [69] Answer to Amended Complaint,, Counterclaim by Apex Clearing Corporation.(Gaza, Anne) Modified on 2/18/2021 (dlw). |
| Feb 17, 2021 | 74 | Main Document (2) Docket Text: AMENDED NOTICE to Take Deposition of Kyle Michel on February 19, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Attachments: # (1) A)(Freund, Kelly) Modified on 2/18/2021 (dlw). |
| Feb 17, 2021 | 74 | A (27) |
| Feb 12, 2021 | 70 | Notice to Take Deposition (2) Docket Text: NOTICE to Take Deposition of William Brennan on February 19, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| Feb 12, 2021 | 71 | Notice to Take Deposition (2) Docket Text: NOTICE to Take Deposition of Karlie Shields on February 19, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| Feb 3, 2021 | 69 | Main Document (18) Docket Text: ANSWER to Amended Complaint, re: [48] Amended Complaint with Jury Demand, Affirmative Defenses, AMENDED COUNTERCLAIM against Apex Clearing Corporation by Axos Financial Inc., Axos Clearing LLC. (Attachments: # (1) Exhibit A, # (2) Exhibit B, # (3) Exhibit C, # (4) Exhibit D)(Biggs, Brian) Modified on 2/4/2021 (dlw). |
| Feb 3, 2021 | 69 | Exhibit A (8) |
| Feb 3, 2021 | 69 | Exhibit B (16) |
| Feb 3, 2021 | 69 | Exhibit C (59) |
| Feb 3, 2021 | 69 | Exhibit D (17) |
| Feb 2, 2021 | 68 | Main Document (2) Docket Text: NOTICE OF SERVICE of Subpoena to Testify at a Deposition to Charlotte Marks filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) Exhibit 1)(Freund, Kelly) |
| Feb 2, 2021 | 68 | Exhibit 1 (31) |
| Jan 29, 2021 | 66 | Main Document (3) Docket Text: NOTICE OF SERVICE of Subpoenas to Testify at a Deposition to Hannah Grove and Robert Doebler filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2)(Freund, Kelly) |
| Jan 29, 2021 | 66 | Exhibit 1 (31) |
| Jan 29, 2021 | 66 | Exhibit 2 (31) |
| Jan 29, 2021 | 67 | Main Document (3) Docket Text: NOTICE OF SERVICE of Subpoenas to Testify at a Deposition to Charlotte Marks, Janson Straub and Steve Simoncic filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2, # (3) Exhibit 3)(Freund, Kelly) |
| Jan 29, 2021 | 67 | Exhibit 1 (31) |
| Jan 29, 2021 | 67 | Exhibit 2 (31) |
| Jan 29, 2021 | 67 | Exhibit 3 (31) |
| Jan 27, 2021 | N/A | Add Attorneys Pro Hac Vice (0) Docket Text: Pro Hac Vice Attorney Ronald H. Spuhler for Apex Clearing Corporation added for electronic noticing. Pursuant to Local Rule 83.5 (d)., Delaware counsel shall be the registered users of CM/ECF and shall be required to file all papers. (kmd) |
| Jan 26, 2021 | N/A | SO ORDERED (0) Docket Text: SO ORDERED re [62] MOTION for Pro Hac Vice Appearance of Attorney Ronald H. Spuhler, Esquire filed by Apex Clearing Corporation. ORDERED by Judge Maryellen Noreika on 1/26/2021. (dlw) |
| Jan 26, 2021 | 62 | Motion for Leave to Appear Pro Hac Vice (5) Docket Text: MOTION for Pro Hac Vice Appearance of Attorney Ronald H. Spuhler, Esquire - filed by Apex Clearing Corporation. (Vrana, Robert) |
| Jan 26, 2021 | 63 | Notice Requesting Removal of Co-Counsel (3) Docket Text: NOTICE requesting Clerk to remove Carey J. Prill as co-counsel.. (Vrana, Robert) |
| Jan 26, 2021 | 64 | Notice to Take Deposition (9) Docket Text: NOTICE to Take Deposition of Apex Clearing Corporation 30(b)(6) on February 9, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Biggs, Brian) |
| Jan 26, 2021 | 65 | Notice to Take Deposition (9) Docket Text: NOTICE to Take Deposition of Apex Clearing Corporation 30(b)(6) on February 10, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Biggs, Brian) |
| Jan 22, 2021 | 51 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Defendants Axos Financial, Inc. and Axos Clearing LLC's Third Supplemental Answers and Objections to Plaintiff's First Set of Interrogatories (NOS. 1-16) filed by Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| Jan 22, 2021 | 52 | Main Document (2) Docket Text: NOTICE to Take Deposition of Kyle Michel on February 16, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) A)(Freund, Kelly) |
| Jan 22, 2021 | 52 | A (27) |
| Jan 22, 2021 | 53 | Main Document (2) Docket Text: NOTICE to Take Deposition of Hannah Grove on February 17, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) A)(Freund, Kelly) |
| Jan 22, 2021 | 53 | A (27) |
| Jan 22, 2021 | 54 | Main Document (2) Docket Text: NOTICE to Take Deposition of Jenny Just on February 12, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) A)(Freund, Kelly) |
| Jan 22, 2021 | 54 | A (27) |
| Jan 22, 2021 | 55 | Main Document (2) Docket Text: NOTICE to Take Deposition of Jessie Savu on February 12, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) A)(Freund, Kelly) |
| Jan 22, 2021 | 55 | A (27) |
| Jan 22, 2021 | 56 | Main Document (2) Docket Text: NOTICE to Take Deposition of Karlie Shields on February 12, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) A)(Freund, Kelly) |
| Jan 22, 2021 | 56 | A (27) |
| Jan 22, 2021 | 57 | Main Document (2) Docket Text: NOTICE to Take Deposition of Paul Duckworth on February 17, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) A)(Freund, Kelly) |
| Jan 22, 2021 | 57 | A (27) |
| Jan 22, 2021 | 58 | Main Document (2) Docket Text: NOTICE to Take Deposition of Robert Doebler on February 17, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) A)(Freund, Kelly) |
| Jan 22, 2021 | 58 | A (27) |
| Jan 22, 2021 | 59 | Main Document (2) Docket Text: NOTICE to Take Deposition of William Brennan on February 16, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) A)(Freund, Kelly) |
| Jan 22, 2021 | 59 | A (27) |
| Jan 22, 2021 | 60 | Main Document (2) Docket Text: NOTICE to Take Deposition of William Capuzzi on February 16, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) A)(Freund, Kelly) |
| Jan 22, 2021 | 60 | A (27) |
| Jan 22, 2021 | 61 | Main Document (3) Docket Text: NOTICE OF SERVICE of Subpoenas to Testify at a deposition to Charlotte Marks, Janson Straub and Steve Simoncic filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2, # (3) Exhibit 3)(Freund, Kelly) |
| Jan 22, 2021 | 61 | Exhibit 1 (31) |
| Jan 22, 2021 | 61 | Exhibit 2 (31) |
| Jan 22, 2021 | 61 | Exhibit 3 (31) |
| Jan 20, 2021 | N/A | SO ORDERED (0) Docket Text: SO ORDERED re [47] Plaintiff's Unopposed Motion for Leave to File First Amended Complaint and D. Del. LR 7.1.1 Statement. ORDERED by Judge Maryellen Noreika on 1/20/2021. (dlw) |
| Jan 20, 2021 | 48 | Main Document (15) Docket Text: FIRST AMENDED COMPLAINT against Apex Clearing Corporation, Axos Financial Inc.- filed by Apex Clearing Corporation. (Attachments: # (1) Exhibit A, # (2) Redline Comparison)(dlw) |
| Jan 20, 2021 | 48 | Exhibit A (3) |
| Jan 20, 2021 | 48 | Redline Comparison (15) |
| Jan 20, 2021 | 49 | Notice to Take Deposition (12) Docket Text: NOTICE to Take Deposition of Axos Financial Inc. Pursuant to Fed. R. Civ. P. 30(b)(6) on February 10, 2021 filed by Apex Clearing Corporation.(Vrana, Robert) |
| Jan 20, 2021 | 50 | Notice to Take Deposition (11) Docket Text: NOTICE to Take Deposition of Axos Clearing LLC Pursuant to Fed. R. Civ. P. 30(b)(6) on February 9, 2021 filed by Apex Clearing Corporation.(Vrana, Robert) |
| Jan 19, 2021 | 47 | Main Document (7) Docket Text: Plaintiff's Unopposed Motion for Leave to File First Amended Complaint and D. Del. LR 7.1.1 Statement - filed by Apex Clearing Corporation. (Attachments: # (1) Text of Proposed Order, # (2) Exhibit A - Amended Complaint, # (3) Exhibit B- Redline)(Gaza, Anne) Modified on 1/20/2021 (dlw). |
| Jan 19, 2021 | 47 | Text of Proposed Order (1) |
| Jan 19, 2021 | 47 | Exhibit A - Amended Complaint (18) |
| Jan 19, 2021 | 47 | Exhibit B- Redline (16) |
| Jan 15, 2021 | 46 | Notice of Service (3) Docket Text: NOTICE OF SERVICE of (1) Axos Financial, Inc. and Axos Clearing LLC's First Set of Requests for Admission to Apex Clearing Corporation (NOS. 1-11); (2) Axos Bank's First Set of Requests for Admission to Apex Clearing Corporation (NOS. 1-13); (3) Axos Financial, Inc. and Axos Clearing LLC's Second Request for Production of Documents and Things to Apex Clearing Corporation (NOS. 29-38); (4) Axos Bank's Third Requests for Production of Documents and Things to Apex Clearing Corporation (NOS. 27-30); (5) Axos Financial and Axos Clearing LLC's Second Set of Interrogatories to Apex Clearing Corporation (NOS. 11-13); and (6) Axos Bank's Second Set of Interrogatories to Apex Clearing Corporation (NOS. 11-17) filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| Jan 14, 2021 | 44 | Notice to Take Deposition (8) Docket Text: NOTICE to Take Deposition of Apex Clearing Corporation 30(b)(6) on February 2, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Biggs, Brian) |
| Jan 14, 2021 | 45 | Notice to Take Deposition (9) Docket Text: NOTICE to Take Deposition of Apex Clearing Corporation 30(b)(6) on February 1, 2021 filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc..(Biggs, Brian) |
| Dec 31, 2020 | 43 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Defendants Axos Financial, Inc. and Axos Clearing LLC's Answers and Objections to Plaintiff's Second Set of Interrogatories (NOS. 17-18) filed by Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| Dec 4, 2020 | N/A | SO ORDERED (0) Docket Text: SO ORDERED re [42] STIPULATION TO EXTEND TIME [Multiple Deadlines] to [Various Dates] (Set/Reset Scheduling Order Deadlines: Fact Discovery completed by 2/26/2021. Opening Expert Reports due by 3/31/2021. Rebuttal Expert Reports due by 4/30/2021. Reply Expert Reports due by 5/14/2021. Expert Discovery due by 6/2/2021). ORDERED by Judge Maryellen Noreika on 12/4/2020. (dlw) |
| Dec 3, 2020 | 42 | Stipulation to EXTEND Time (3) Docket Text: STIPULATION TO EXTEND TIME [Multiple Deadlines] to [Various Dates] - filed by Apex Clearing Corporation. (Vrana, Robert) |
| Dec 1, 2020 | 41 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Apex Clearing Corporation's Second Set of Interrogatories to Axos Financial Inc. and Axos Clearing LLC (Nos. 17-18) filed by Apex Clearing Corporation.(Vrana, Robert) |
| Nov 19, 2020 | 40 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Apex Clearing Corporation's Responses to Axos Bank's Second Requests for Production of Documents and Things (Nos. 24-26) filed by Apex Clearing Corporation.(Vrana, Robert) |
| Oct 20, 2020 | 39 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Axos Bank's Second Requests for Production of Documents and Things to Apex Clearing Corporation (NOS. 24-26) filed by Axos Bank.(Biggs, Brian) |
| Oct 13, 2020 | N/A | Telephone Conference (0) Docket Text: Minute Entry for proceedings held before Judge Maryellen Noreika - Discovery Dispute Telephone Conference held on 10/13/2020. Arguments heard on the parties' disputes ([34], [36]). The transcript shall serve as the Court's order. (Court Reporter Stacy Ingram.) (mdb) |
| Oct 12, 2020 | 38 | Letter (1) Docket Text: Letter to The Honorable Maryellen Noreika from Brian A. Biggs regarding Correction to Defendants' Opposition Letter Regarding Discovery Dispute Hearing - re [31] Order Setting Teleconference,, [36] Letter. (Biggs, Brian) |
| Oct 8, 2020 | 37 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Defendants Axos Financial, Inc. and Axos Clearing LLC's Second Supplemental Responses and Objections to Plaintiff's First Set of Interrogatories (NOS. 1-16) filed by Axos Clearing LLC, Axos Financial Inc..(Biggs, Brian) |
| Oct 7, 2020 | 35 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of 1) Apex Clearing Corporation's Supplemental Responses to Financial Inc. and Axos Clearing LLC's Interrogatory Nos. 1-3 and 8; and 2) Apex Clearing Corporation's Supplemental Responses to Axos Bank's Interrogatory Nos. 3 and 4 filed by Apex Clearing Corporation.(Vrana, Robert) |
| Oct 7, 2020 | 36 | Main Document (5) Docket Text: Letter to The Honorable MaryEllen Noreika from Brian A. Biggs regarding Responsive Letter Regarding Discovery Disputes - re [31] Order Setting Teleconference,, [34] Letter,. (Attachments: # (1) Exhibit 1-2)(Biggs, Brian) |
| Oct 7, 2020 | 36 | Exhibit 1-2 (9) |
| Oct 6, 2020 | 34 | Main Document (5) Docket Text: Letter to The Honorable Maryellen Noreika from Anne Shea Gaza regarding Discovery Dispute - re [31] Order Setting Teleconference,,. (Attachments: # (1) Exhibit 1, # (2) Exhibit 2, # (3) Exhibit 3, # (4) Exhibit 4, # (5) Exhibit 5, # (6) Exhibit 6, # (7) Exhibit 7, # (8) Exhibit 8, # (9) Exhibit 9)(Gaza, Anne) |
| Oct 6, 2020 | 34 | Exhibit 1 (10) |
| Oct 6, 2020 | 34 | Exhibit 2 (20) |
| Oct 6, 2020 | 34 | Exhibit 3 (16) |
| Oct 6, 2020 | 34 | Exhibit 4 (58) |
| Oct 6, 2020 | 34 | Exhibit 5 (3) |
| Oct 6, 2020 | 34 | Exhibit 6 (4) |
| Oct 6, 2020 | 34 | Exhibit 7 (9) |
| Oct 6, 2020 | 34 | Exhibit 8 (3) |
| Oct 6, 2020 | 34 | Exhibit 9 (13) |
| Sep 24, 2020 | 33 | Notice (Other) (2) Docket Text: NOTICE of Withdrawal of Appearance of Denise S. Kraft by Axos Bank, Axos Clearing LLC, Axos Financial Inc. (Biggs, Brian) |
| Sep 15, 2020 | N/A | Add Attorneys Pro Hac Vice (0) Docket Text: Pro Hac Vice Attorney Devika Persaud for Axos Clearing LLC,for Axos Bank, for Axos Financial Inc. added for electronic noticing. Pursuant to Local Rule 83.5 (d)., Delaware counsel shall be the registered users of CM/ECF and shall be required to file all papers. (myr) Modified on 9/15/2020 (myr). |
| Sep 14, 2020 | N/A | SO ORDERED (0) Docket Text: SO ORDERED re [32] MOTION for Pro Hac Vice Appearance of Attorney Devika Persaud filed by Axos Financial Inc., Axos Bank, Axos Clearing LLC. ORDERED by Judge Maryellen Noreika on 9/14/2020. (dlw) |
| Sep 11, 2020 | 32 | Motion for Leave to Appear Pro Hac Vice (4) Docket Text: MOTION for Pro Hac Vice Appearance of Attorney Devika Persaud - filed by Axos Bank, Axos Clearing LLC, Axos Financial Inc.. (Freund, Kelly) |
| Aug 25, 2020 | N/A | Order Setting Teleconference (0) Docket Text: ORAL ORDER Setting Teleconference - After having been advised by the parties of their inability to resolve a discovery dispute, IT IS HEREBY ORDERED that a Discovery Dispute Telephone Conference is set for 10/13/2020 at 01:00 PM before Judge Maryellen Noreika. The opening letter (not to exceed three (3) pages) is due on or before 10/6/2020 and the responsive letter (not to exceed three (3) pages) is due on or before 10/7/2020. Counsel shall provide a dial-in number for the teleconference by emailing this Court's judicial administrator. ORDERED by Judge Maryellen Noreika on 8/25/2020. (dlw) |
| Aug 21, 2020 | 30 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Defendants Axos Financial, Inc. and Axos Clearing LLC's Second Supplemental Responses and Objections to Plaintiff's First Set of Requests for Production of Documents and Things (NOS. 1-55) filed by Axos Clearing LLC, Axos Financial Inc..(Biggs, Brian) |
| Aug 17, 2020 | N/A | Add Attorneys Pro Hac Vice (0) Docket Text: Pro Hac Vice Attorney Bryce R. Persichetti for Apex Clearing Corporation added for electronic noticing. Pursuant to Local Rule 83.5 (d)., Delaware counsel shall be the registered users of CM/ECF and shall be required to file all papers. (myr) |
| Aug 14, 2020 | N/A | SO ORDERED (0) Docket Text: SO ORDERED re [29] MOTION for Pro Hac Vice Appearance of Attorney Bryce Persichetti filed by Apex Clearing Corporation. ORDERED by Judge Maryellen Noreika on 8/14/2020. (dlw) |
| Aug 14, 2020 | 29 | Motion for Leave to Appear Pro Hac Vice (5) Docket Text: MOTION for Pro Hac Vice Appearance of Attorney Bryce Persichetti - filed by Apex Clearing Corporation. (Vrana, Robert) |
| Aug 12, 2020 | 28 | Notice of Appearance (1) Docket Text: NOTICE of Appearance by Kelly Lynne Freund on behalf of Axos Bank (Freund, Kelly) |
| Aug 10, 2020 | 27 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Defendants Axos Financial, Inc. and Axos Clearing LLC's Supplemental Answers and Objections to Plaintiff's First Set of Interrogatories (NOS. 1-16) filed by Axos Clearing LLC, Axos Financial Inc..(Freund, Kelly) |
| Aug 7, 2020 | 26 | Notice of Appearance (1) Docket Text: NOTICE of Appearance by Kelly Lynne Freund on behalf of Axos Clearing LLC, Axos Financial Inc. (Freund, Kelly) |
| Jul 15, 2020 | 25 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of 1) Apex Clearing Corporation's Responses to Axos Bank's First Requests for Production of Documents and Things (Nos. 1-23); 2) Apex Clearing Corporation's Responses to Axos Financial Inc. & Axos Clearing LLC's First Requests for Production of Documents and Things (Nos. 1-28); 3) Apex Clearing Corporation's Responses to Axos Bank's First Set of Interrogatories (Nos. 1-10); and 4) Apex Clearing Corporation's Responses to Axos Financial Inc. and Axos Clearing LLC's First Set of Interrogatories (Nos. 1-10) filed by Apex Clearing Corporation.(Gaza, Anne) |
| Jul 10, 2020 | 24 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Defendants Axos Financial, Inc. and Axos Clearing LLC's Supplemental Responses and Objections to Plaintiff's First Set of Requests for Production of Documents and Things (NOS. 1-55) filed by Axos Bank.(Biggs, Brian) |
| Jun 15, 2020 | 23 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Defendants Axos Financial, Inc. and Axos Clearing LLC's Responses and Objections to Plaintiff's First Set of Requests for Production of Documents and Things (NOS. 1-55); Defendant Axos Financial, Inc. and Axos Clearing LLC's Answers and Objections to Plaintiff's First Set of Interrogatories (NOS. 1-16); and Defendants Axos Financial, Inc. and Axos Clearing LLC's Responses and Objections to Plaintiff's First Requests for Admission (NOS. 1-3) filed by Axos Bank.(Biggs, Brian) |
| Apr 23, 2020 | 21 | Main Document (23) Docket Text: PROPOSED ORDER // Stipulated Protective Order by Axos Bank. (Attachments: # (1) Exhibit A)(Biggs, Brian) Modified on 4/23/2020 (dlw). |
| Apr 23, 2020 | 21 | Exhibit A (3) |
| Apr 23, 2020 | 22 | Protective Order (26) Docket Text: STIPULATED PROTECTIVE ORDER. Signed by Judge Maryellen Noreika on 4/23/2020. (dlw) |
| Apr 15, 2020 | 20 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of 1) Apex Clearing Corporation's First Set of Interrogatories to Axos Financial Inc. and Axos Clearing LLC; 2) Apex Clearing Corporation's First Set of Requests for Admission to Axos Financial Inc. and Axos Clearing LLC; and 3) Apex Clearing Corporation's First Set of Requests to Produce to Axos Financial Inc. and Axos Clearing LLC filed by Apex Clearing Corporation.(Vrana, Robert) |
| Apr 8, 2020 | 19 | Notice of Service (3) Docket Text: NOTICE OF SERVICE of Axos Financial Inc., Axos Clearing LLC, and Axos Bank's Paragraph 3 Initial Disclosures Regarding Discovery of Electronically Stored Information filed by Axos Bank.(Biggs, Brian) |
| Mar 23, 2020 | 17 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Apex Clearing Corporation's Initial Disclosures Pursuant to Fed. R. Civ. P. 23(a)(1) and Paragraph 3 of the Default Standard for Discovery filed by Apex Clearing Corporation.(Vrana, Robert) |
| Mar 23, 2020 | 18 | Notice of Service (2) Docket Text: NOTICE OF SERVICE of Axos Financial Inc., Axos Clearing LLC and Axos Bank's Initial Disclosure filed by Axos Bank.(Biggs, Brian) |
| Mar 11, 2020 | N/A | Oral Order (0) Docket Text: ORAL ORDER: If during the history of this case, Plaintiff(s) and Defendant(s) jointly wish to schedule a form of alternative dispute resolution ("ADR"), such as mediation, with Judge Burke, they should contact chambers by e-mail at Deborah_Benyo@ded.uscourts.gov or by phone. Additionally, if either side wishes to speak ex parte with Judge Burke regarding ADR matters, they may contact chambers via e-mail or by phone to arrange a time for a call. Ordered by Judge Christopher J. Burke on 3/11/2020. (dlb) |
| Mar 9, 2020 | N/A | Case Referred to Mediation (0) Docket Text: CASE REFERRED to Magistrate Judge Christopher J. Burke for Mediation. Please see Standing Order dated January 20, 2016, regarding disclosure of confidential ADR communications. A link to the standing order is provided here for your convenience at https://www.ded.uscourts.gov/sites/ded/files/forms/StandingOrderforADR-Mediation.pdf Associated Cases: 1:19-cv-02066-MN, 1:20-cv-00018-MN(cak) |
| Mar 9, 2020 | 15 | Scheduling Order (10) Docket Text: SCHEDULING ORDER: These cases are CONSOLIDATED for all purposes, including trial. All future filings shall by made in C.A. No. 19-2066 (MN). Case referred to the Magistrate Judge for the purpose of exploring ADR. Joinder of Parties due by 6/15/2020. Amended Pleadings due by 6/15/2020. Fact Discovery completed by 12/31/2020. Opening Expert Reports due by 2/1/2021. Rebuttal Expert Reports due by 3/1/2021. Reply Expert Reports due 4/1/2021. Dispositive Motions due by 6/30/2021. Answering Brief due 7/23/2021. Reply Brief due 8/13/2021. A Pretrial Conference is set for 12/13/2021 at 10:00 AM in Courtroom 4A before Judge Maryellen Noreika. A 5-day Jury Trial is set for 1/10/2022 at 09:30 AM in Courtroom 4A before Judge Maryellen Noreika. Signed by Judge Maryellen Noreika on 3/9/2020. (dlw) |
| Mar 6, 2020 | N/A | CORRECTING ENTRY: (0) Docket Text: CORRECTING ENTRY: D.I. 14 has been replaced on the docket with an updated version of the Proposed Scheduling Order. (dlw) |
| Feb 28, 2020 | 14 | Proposed Order (10) Docket Text: PROPOSED ORDER // Scheduling Order by Apex Clearing Corporation. (Vrana, Robert) Modified on 3/2/2020 (dlw). (Main Document 14 replaced on 3/6/2020) (dlw). |
| Jan 29, 2020 | N/A | Oral Order (0) Docket Text: ORAL ORDER - IT IS HEREBY ORDERED that the parties shall confer regarding proposed dates in the scheduling order and shall submit a proposed order, including a proposal for the length and timing of trial, to the Court no later than thirty (30) days from the date of this Order. The parties are to use the Court's form scheduling order, which is posted at http://www.ded.uscourts.gov (see Chambers, Judge Noreika, Forms). If there are disputes or issues that the Court needs to address in the proposed scheduling order, the parties shall direct the Court to the paragraph numbers in which those appear in a cover letter to the Court. ORDERED by Judge Maryellen Noreika on 1/29/2020. (dlw) |
| Jan 27, 2020 | 12 | Answer to Counterclaim (8) Docket Text: ANSWER to [9] Answer to Complaint, Counterclaim by Apex Clearing Corporation.(Gaza, Anne) Modified on 1/27/2020 (dlw). |
| Jan 9, 2020 | N/A | CORRECTING ENTRY: (0) Docket Text: CORRECTING ENTRY: Former D.I. 10 (Defendants' Corporate Disclosure Statement) has been deleted from the docket and re-filed as D.I. 11. Former D.I. 11 (Defendants' Pro Hac Motion) has been renumbered to D.I. 10 to keep the docket number sequence. (dlw) |
| Jan 9, 2020 | N/A | Add Attorneys Pro Hac Vice (0) Docket Text: Pro Hac Vice Attorney John M. Nading,David Kramer,Ann K. Ford for Axos Clearing LLC, Axos Financial Inc. added for electronic noticing. Pursuant to Local Rule 83.5 (d)., Delaware counsel shall be the registered users of CM/ECF and shall be required to file all papers. (lak) |
| Jan 9, 2020 | 11 | Disclosure Statement (2) Docket Text: Disclosure Statement pursuant to Rule 7.1: identifying Corporate Parent Axos Clearing, Inc., Corporate Parent Axos Securities, LLC, Corporate Parent Axos Nevada Holding, LLC for Axos Clearing LLC; Other Affiliate BlackRock, Inc. for Axos Financial Inc. filed by Axos Clearing LLC, Axos Financial Inc. (dlw) |
| Jan 7, 2020 | N/A | SO ORDERED (0) Docket Text: SO ORDERED re [10] MOTION for Pro Hac Vice Appearance of Attorney Ann K. Ford, John M. Nading, and David M. Kramer filed by Axos Financial Inc., Axos Clearing LLC. ORDERED by Judge Maryellen Noreika on 1/7/2020. (dlw) Modified on 1/9/2020 (dlw). |
| Jan 6, 2020 | 9 | Main Document (15) Docket Text: ANSWER to [1] Complaint, with Jury Demand , COUNTERCLAIM against Apex Clearing Corporation by Axos Financial Inc., Axos Clearing LLC. (Attachments: # (1) Exhibits A-D)(Kraft, Denise) |
| Jan 6, 2020 | 9 | Exhibits A-D (97) |
| Jan 6, 2020 | 10 | Main Document (1) Docket Text: MOTION for Pro Hac Vice Appearance of Attorney Ann K. Ford, John M. Nading, and David M. Kramer - filed by Axos Clearing LLC, Axos Financial Inc.. (Attachments: # (1) Text of Proposed Order, # (2) Certification of Ann Ford, # (3) Certification of John Nading, # (4) Certification of David Kramer)(Kraft, Denise) Modified on 1/9/2020 (dlw). |
| Jan 6, 2020 | 10 | Text of Proposed Order (1) |
| Jan 6, 2020 | 10 | Certification of Ann Ford (1) |
| Jan 6, 2020 | 10 | Certification of John Nading (1) |
| Jan 6, 2020 | 10 | Certification of David Kramer (1) |
| Dec 20, 2019 | N/A | SO ORDERED (0) Docket Text: SO ORDERED re [8] Stipulation and Order for Extension (Set/Reset Answer Deadlines: Axos Clearing LLC answer due 1/6/2020; Axos Financial Inc. answer due 1/6/2020). ORDERED by Judge Maryellen Noreika on 12/20/2019. (dlw) |
| Dec 20, 2019 | 8 | Stipulation (2) Docket Text: Joint STIPULATION and [Proposed] Order for Extension by Axos Clearing LLC, Axos Financial Inc.. (Biggs, Brian) |
| Nov 20, 2019 | N/A | SO ORDERED (0) Docket Text: SO ORDERED re [7] Stipulation and Order for Extension (Set/Reset Answer Deadlines: Axos Clearing LLC answer due 12/23/2019; Axos Financial Inc. answer due 12/23/2019). ORDERED by Judge Maryellen Noreika on 11/20/2019. (dlw) |
| Nov 20, 2019 | 7 | Stipulation (2) Docket Text: STIPULATION and [Proposed] Order for Extension by Axos Clearing LLC, Axos Financial Inc.. (Biggs, Brian) |
| Nov 7, 2019 | N/A | SO ORDERED (0) Docket Text: SO ORDERED re [4] MOTION for Pro Hac Vice Appearance of Attorney Patrick J. Arnold, Jr., Esquire and Carey J. Prill, Esquire filed by Apex Clearing Corporation. ORDERED by Judge Maryellen Noreika on 11/7/2019. (dlw) |
| Nov 7, 2019 | N/A | Add Attorneys Pro Hac Vice (0) Docket Text: Pro Hac Vice Attorney Carey J. Prill for Apex Clearing Corporation added for electronic noticing. Pursuant to Local Rule 83.5 (d)., Delaware counsel shall be the registered users of CM/ECF and shall be required to file all papers. (myr) |
| Nov 7, 2019 | N/A | Add Attorneys Pro Hac Vice (0) Docket Text: Pro Hac Vice Attorney Patrick J. Arnold, Jr. for Apex Clearing Corporation added for electronic noticing. Pursuant to Local Rule 83.5 (d)., Delaware counsel shall be the registered users of CM/ECF and shall be required to file all papers. (myr) |
| Nov 6, 2019 | N/A | Case Assigned/Reassigned (0) Docket Text: Case Assigned to Judge Maryellen Noreika. Please include the initials of the Judge (MN) after the case number on all documents filed. (rjb) |
| Oct 31, 2019 | N/A | Summons Issued (0) Docket Text: Summons Issued with Magistrate Consent Notice attached as to Axos Clearing LLC on 10/31/2019; Axos Financial Inc. on 10/31/2019. Requesting party or attorney should pick up issued summons at the Help Desk, Room 4209, or call 302-573-6170 and ask the Clerk to mail the summons to them. (lak) |
| Oct 31, 2019 | 4 | Motion for Leave to Appear Pro Hac Vice (4) Docket Text: MOTION for Pro Hac Vice Appearance of Attorney Patrick J. Arnold, Jr., Esquire and Carey J. Prill, Esquire - filed by Apex Clearing Corporation. (Vrana, Robert) |
| Oct 31, 2019 | 5 | Summons Returned Executed (2) Docket Text: SUMMONS Returned Executed by Apex Clearing Corporation. Axos Clearing LLC served on 10/31/2019, answer due 11/21/2019. (Vrana, Robert) |
| Oct 31, 2019 | 6 | Summons Returned Executed (2) Docket Text: SUMMONS Returned Executed by Apex Clearing Corporation. Axos Financial Inc. served on 10/31/2019, answer due 11/21/2019. (Vrana, Robert) |
| Oct 30, 2019 | 1 | Main Document (12) Docket Text: COMPLAINT FOR TRADEMARK INFRINGEMENT - filed with Jury Demand against Axos Clearing LLC, Axos Financial Inc. - Magistrate Consent Notice to Pltf. ( Filing fee $ 400, receipt number 0311-2767676.) - filed by Apex Clearing Corporation. (Attachments: # (1) Civil Cover Sheet) (lak) |
| Oct 30, 2019 | 1 | Civil Cover Sheet (1) |
| Oct 30, 2019 | 2 | Magistrate Consent Forms (3) Docket Text: Notice, Consent and Referral forms re: U.S. Magistrate Judge jurisdiction. (lak) |
| Oct 30, 2019 | 3 | Disclosure Statement (1) Docket Text: Disclosure Statement pursuant to Rule 7.1: identifying Corporate Parent Apex Clearing Holdings LLC, Corporate Parent PEAK6 Investments LLC for Apex Clearing Corporation filed by Apex Clearing Corporation. (lak) |
