| Date Filed | Doc # | Docket Text |
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| 2022-09-28 | 1 | COMPLAINT against Financial Industry Regulatory Authority, First Republic Securities Company, LLC (Filing fee $ 402-34611161421.). Filed byShannon Marquardt. Consent/Declination due by 10/12/2022. (Attachments: # 1 Exhibit, # 2 Civil Cover Sheet, # 3 Envelope, # 4 receipt)(hdj, COURT STAFF) (Filed on 9/28/2022) (Entered: 09/28/2022) |
| 2022-09-28 | 2 | Initial Case Management Scheduling Order with ADR Deadlines: Case Management Statement due by 12/29/2022. Initial Case Management Conference set for 1/5/2023 10:00 AM in San Francisco, Courtroom G, 15th Floor. (hdj, COURT STAFF) (Filed on 9/28/2022) Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF) (Entered: 09/28/2022) |
| 2022-09-28 | | Received one USB drive re 1 COMPLAINT. (wsn, COURT STAFF) (Filed on 9/28/2022) (Entered: 10/04/2022) |
| 2022-12-19 | 3 | Proposed Summons. (Attachments: # 1 Summons)(Marquardt, Shannon) (Filed on 12/19/2022) (Entered: 12/19/2022) |
| 2022-12-20 | 4 | Summons Issued as to Financial Industry Regulatory Authority, First Republic Securities Company, LLC. (hdj, COURT STAFF) (Filed on 12/20/2022) (Entered: 12/20/2022) |
| 2022-12-30 | 5 | ORDER EXTENDING DEADLINE FOR SERVICE TO 1/31/2023. Case Management Statement due by 3/2/2023. Initial Case Management Conference set for 3/9/2023 10:00 AM. Signed by Judge Thomas S. Hixson on 12/30/2022. (tshlc1, COURT STAFF) (Filed on 12/30/2022) Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF) (Entered: 12/30/2022) |
| 2023-02-22 | 6 | SUMMONS Returned Executed by Shannon Marquardt. Financial Industry Regulatory Authority served on 2/21/2022, answer due 3/14/2022. (Marquardt, Shannon) (Filed on 2/22/2023) (Entered: 02/22/2023) |
| 2023-02-27 | 7 | WAIVER OF SERVICE Returned Executed filed by Shannon Marquardt. (Marquardt, Shannon) (Filed on 2/27/2023) (Entered: 02/27/2023) |
| 2023-03-02 | 8 | CONSENT/DECLINATION to Proceed Before a US Magistrate Judge by First Republic Securities Company, LLC.. (Stecher, Christopher) (Filed on 3/2/2023) (Entered: 03/02/2023) |
| 2023-03-02 | 9 | Certificate of Interested Entities by First Republic Securities Company, LLC (Stecher, Christopher) (Filed on 3/2/2023) (Entered: 03/02/2023) |
| 2023-03-02 | 10 | CASE MANAGEMENT STATEMENT filed by Shannon Marquardt. (Attachments: # 1 Certificate/Proof of Service)(Marquardt, Shannon) (Filed on 3/2/2023) (Entered: 03/02/2023) |
| 2023-03-03 | 11 | CLERK'S NOTICE OF IMPENDING REASSIGNMENT TO A U.S. DISTRICT COURT JUDGE: The Clerk of this Court will now randomly reassign this case to a District Judge because either (1) a party has not consented to the jurisdiction of a Magistrate Judge, or (2) time is of the essence in deciding a pending judicial action for which the necessary consents to Magistrate Judge jurisdiction have not been secured. You will be informed by separate notice of the district judge to whom this case is reassigned. ALL HEARING DATES PRESENTLY SCHEDULED BEFORE THE CURRENT MAGISTRATE JUDGE ARE VACATED AND SHOULD BE RE-NOTICED FOR HEARING BEFORE THE JUDGE TO WHOM THIS CASE IS REASSIGNED. This is a text only docket entry; there is no document associated with this notice. (tshlc1, COURT STAFF) (Filed on 3/3/2023) Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF) (Entered: 03/03/2023) |
| 2023-03-03 | 12 | ORDER REASSIGNING CASE. Case reassigned using a proportionate, random, and blind system pursuant to General Order No. 44 to Judge Charles R. Breyer for all further proceedings. Magistrate Judge Thomas S. Hixson no longer assigned to case, Notice: The assigned judge participates in the Cameras in the Courtroom Pilot Project. See General Order No. 65 and http://cand.uscourts.gov/cameras.. Signed by Clerk on 3/3/2023. (Attachments: # 1 Notice of Eligibility for Video Recording)(ark, COURT STAFF) (Filed on 3/3/2023) Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF) (Entered: 03/03/2023) |
| 2023-03-03 | 13 | CLERK'S NOTICE: A Joint Case Management Statement due by 5/19/2023. Initial Case Management Conference set for 5/26/2023 at 8:30 AM in San Francisco - To be determined.. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ls, COURT STAFF) (Filed on 3/3/2023) Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF) (Entered: 03/03/2023) |
| 2023-03-10 | 14 | STIPULATION Civil Local Rule 6-1(a) Stipulation to Extend Time for Defendant FINRA to Respond to Complaint filed by Financial Industry Regulatory Authority. (Werderitch, Lori) (Filed on 3/10/2023) (Entered: 03/10/2023) |
| 2023-03-29 | 15 | MOTION to Dismiss filed by First Republic Securities Company, LLC. Motion Hearing set for 5/5/2023 10:00 AM in San Francisco, Courtroom 06, 17th Floor before Judge Charles R. Breyer. Responses due by 4/12/2023. Replies due by 4/19/2023. (Attachments: # 1 Declaration of Teresa J. Thong, # 2 Declaration of Debra Achkire, # 3 Proposed Order, # 4 Certificate/Proof of Service)(Thong, Teresa) (Filed on 3/29/2023) (Entered: 03/29/2023) |
| 2023-03-29 | 16 | CLERK'S NOTICE VACATING CASE MANAGEMENT CONFERENCE set for May 26, 2023 and VACATING MOTION TO DISMISS HEARING set for May 5, 2023 before the Honorable Charles R. Breyer. Motion to Dismiss Hearing set for 6/16/2023 at 10:00 AM in San Francisco - To be determined before Judge Charles R. Breyer.. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ls, COURT STAFF) (Filed on 3/29/2023) Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF) (Entered: 03/29/2023) |
| 2023-04-12 | 17 | MOTION for Extension of Time to File Response/Reply as to 15 MOTION to Dismiss filed by Shannon Marquardt. (Marquardt, Shannon) (Filed on 4/12/2023) (Entered: 04/12/2023) |
| 2023-04-12 | 18 | ORDER by Judge Charles R. Breyer granting 17 Motion for Extension of Time to File Response. Response due by 5/15/2023. Reply due by 5/22/2023. (crblc2, COURT STAFF) (Filed on 4/12/2023) Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF) (Entered: 04/12/2023) |
| 2023-04-27 | 19 | STIPULATION re 1 Complaint, Civil Local Rule 6-1(a) Stipulation to Further Extend Time for Defendant FINRA to Respond to Complaint filed by Financial Industry Regulatory Authority. (Werderitch, Lori) (Filed on 4/27/2023) (Entered: 04/27/2023) |
| 2023-05-18 | 20 | ORDER TO SHOW CAUSE. Show Cause Response due by 6/1/2023. Signed by Judge Charles R. Breyer on 05/18/2023. (crblc2, COURT STAFF) (Filed on 5/18/2023) Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF) (Entered: 05/18/2023) |
| 2023-05-26 | | Set/Reset Hearing Re 15 Motion to Dismiss. Motion Hearing set for 6/16/2023 at 10:00 AM in San Francisco - Videoconference Only before Judge Charles R. Breyer. This proceeding will be held via a Zoom webinar. Webinar Access: All counsel, members of the public, and media may access the webinar information at https://www.cand.uscourts.gov/crb Court Appearances: Advanced notice is required of counsel or parties who wish to be identified by the court as making an appearance or will be participating in the argument at the hearing. A list of names and emails must be sent to the CRD at crbcrd@cand.uscourts.gov no later than June 13, 2023 at 3:00 PM PST. General Order 58. Persons granted access to court proceedings held by telephone or videoconference are reminded that photographing, recording, and rebroadcasting of court proceedings, including screenshots or other visual copying of a hearing, is absolutely prohibited. Zoom Guidance and Setup: https://www.cand.uscourts.gov/zoom/ . Motion Hearing set for 6/16/2023 10:00 AM in San Francisco, - Videoconference Only before Judge Charles R. Breyer. (ls, COURT STAFF) (Filed on 5/26/2023) (Entered: 05/26/2023) |
| 2023-05-31 | 21 | Response re 20 Order to Show Cause, byShannon Marquardt. (Marquardt, Shannon) (Filed on 5/31/2023) (Entered: 05/31/2023) |
| 2023-06-01 | 22 | ORDER by Judge Charles R. Breyer granting 15 Motion to Dismiss. (crblc2, COURT STAFF) (Filed on 6/1/2023) Any non-CM/ECF Participants have been served by First Class Mail to the addresses of record listed on the Notice of Electronic Filing (NEF) (Entered: 06/01/2023) |
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