This case was last updated from PACER on 11/20/2018 at 07:48:04 (UTC).

Spartan Capital Securities, LLC et al v. Wookey et al

Case Summary

On 09/21/2018 Spartan Capital Securities, LLC filed an Other - Arbitration lawsuit against Wookey. This case was filed in U.S. District Courts, South Dakota District. The Judge overseeing this case is Jeffrey L. Viken. The case status is Pending - Other Pending.

Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    5:18-CV-05070

  • Filing Date:

    09/21/2018

  • Case Status:

    Pending - Other Pending

  • Case Type:

    Other - Arbitration

  • Court:

    U.S. District Courts

  • Courthouse:

    South Dakota District

Judge Details

Presiding Judge

Jeffrey L. Viken

 

Party Details

Plaintiffs

Robert Murray

Spartan Capital Securities, LLC

John Lowry

Defendants

Kathy Wookey

Thomas Wookey

Attorney/Law Firm Details

Plaintiff Attorneys

Matthew V. Rusch

Attorney at Erickson & Sederstrom, PC

10330 Regency Parkway Dr.

Omaha, NE 68114

Matthew N. Fiorovanti

Attorney at Giordano, Halleran & Ciesla, P.C.

125 Half Mile Road, Suite 300

Red Bank, NJ 07701

Defendant Attorneys

John S. Theeler

Attorney at Morgan Theeler LLP

Po Box 1025, 1718 North Sanborn Boulevard, 996-5588, Fax: 996-6129

Mitchell, SD 57301

Richard J. Rylance, II

Attorney at Morgan Theeler LLP

Po Box 1025, 1718 North Sanborn Boulevard

Mitchell, SD 57301

 

Court Documents

#19

(#19) ORDER. Signed by Chief Judge Jeffrey L. Viken on 11/13/18. (SB) (Entered: 11/13/2018)

#18

(#18) STIPULATION re #5 MOTION to Vacate Arbitration Award by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew) (Entered: 11/09/2018)

#17

(#17) NOTICE of Appearance by John S. Theeler on behalf of All Defendants. (Theeler, John) (Entered: 11/08/2018)

#16

(#16) FILED IN ERROR - NOTICE of Appearance by Richard J. Rylance, II on behalf of All Defendants. (Rylance, Richard) Modified on 11/9/2018 (SKK). (Entered: 11/08/2018)

#15

(#15) NOTICE of Appearance by Richard J. Rylance, II on behalf of All Defendants. (Rylance, Richard) (Entered: 11/08/2018)

#14

(#14) ORDER granting #13 Motion for Admission Pro Hac Vice of Matthew Fiorovanti. Signed by Chief Judge Jeffrey L. Viken on 11/6/18. (SB) (Entered: 11/06/2018)

#13

(#13) MOTION for Attorney Matthew Fiorovanti to be Admitted Pro Hac Vice (paid $100 PHV fee; receipt number 0869-2911293) by Spartan Capital Securities, LLC. (Rusch, Matthew) (Entered: 11/01/2018)

#12

(#12) WAIVER OF SERVICE Returned Executed by Spartan Capital Securities, LLC. All Defendants. (Rusch, Matthew) (Entered: 10/31/2018)

#10

(#11) SUPPLEMENT by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #10 Supplement,,, #6 Brief, #8 Supplement,,, #9 Supplement,,, #7 Declaration,, . (Attachments: #1 Exhibit 41 - Statement of Claim, #2 Exhibit 42 - Responses and Obj. to Discovery Guide List #2, #3 Exhibit 43 - Email from Kim Monchik, #4 Exhibit 44 - Quality Communications Certification, #5 Exhibit 45 - Spartan Internal Procedures, #6 Exhibit 46 - Spartan Internal Procedures, #7 Exhibit 47 - Statement of Claim, #8 Exhibit 48 - Answer to Statement of Claim, #9 Exhibit 49 - Award) (Rusch, Matthew) (Entered: 10/04/2018)

7 #8

Exhibit 8 - Wire/payment authorizations

7 #7

Exhibit 7 - Letters from Spartan Confirming Trades

#6

(#11) SUPPLEMENT by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #10 Supplement,,, #6 Brief, #8 Supplement,,, #9 Supplement,,, #7 Declaration,, . (Attachments: #1 Exhibit 41 - Statement of Claim, #2 Exhibit 42 - Responses and Obj. to Discovery Guide List #2, #3 Exhibit 43 - Email from Kim Monchik, #4 Exhibit 44 - Quality Communications Certification, #5 Exhibit 45 - Spartan Internal Procedures, #6 Exhibit 46 - Spartan Internal Procedures, #7 Exhibit 47 - Statement of Claim, #8 Exhibit 48 - Answer to Statement of Claim, #9 Exhibit 49 - Award) (Rusch, Matthew) (Entered: 10/04/2018)

#5

(#18) STIPULATION re #5 MOTION to Vacate Arbitration Award by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew) (Entered: 11/09/2018)

#4

(#4) MOTION to Strike #1 Complaint by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew) (Entered: 09/24/2018)

3 #1

AO_085

#3

(#3) RULE 73 MEMORANDUM. (Attachments: #1 AO_085)(SLT) (Entered: 09/21/2018)

#2

(#2) CIVIL COVER SHEET. (SLT) (Entered: 09/21/2018)

#1

(#4) MOTION to Strike #1 Complaint by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew) (Entered: 09/24/2018)

63 More Documents Available

 

Docket Entries

  • 11/13/2018
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  • (#19) ORDER. Signed by Chief Judge Jeffrey L. Viken on 11/13/18. (SB) (Entered: 11/13/2018)

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  • 11/09/2018
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  • (#18) STIPULATION re #5 MOTION to Vacate Arbitration Award by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew) (Entered: 11/09/2018)

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  • 11/08/2018
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  • (#17) NOTICE of Appearance by John S. Theeler on behalf of All Defendants. (Theeler, John) (Entered: 11/08/2018)

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  • 11/08/2018
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  • NOTICE of Filing Error: #16 Notice of Appearance was filed in error and should be disregarded. (Rylance, Richard) (Entered: 11/08/2018)

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  • 11/08/2018
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  • (#16) FILED IN ERROR - NOTICE of Appearance by Richard J. Rylance, II on behalf of All Defendants. (Rylance, Richard) Modified on 11/9/2018 (SKK). (Entered: 11/08/2018)

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  • 11/08/2018
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  • (#15) NOTICE of Appearance by Richard J. Rylance, II on behalf of All Defendants. (Rylance, Richard) (Entered: 11/08/2018)

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  • 11/06/2018
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  • (#14) ORDER granting #13 Motion for Admission Pro Hac Vice of Matthew Fiorovanti. Signed by Chief Judge Jeffrey L. Viken on 11/6/18. (SB) (Entered: 11/06/2018)

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  • 11/01/2018
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  • (#13) MOTION for Attorney Matthew Fiorovanti to be Admitted Pro Hac Vice (paid $100 PHV fee; receipt number 0869-2911293) by Spartan Capital Securities, LLC. (Rusch, Matthew) (Entered: 11/01/2018)

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  • 10/31/2018
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  • (#12) WAIVER OF SERVICE Returned Executed by Spartan Capital Securities, LLC. All Defendants. (Rusch, Matthew) (Entered: 10/31/2018)

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  • 10/04/2018
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  • (#11) SUPPLEMENT by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #10 Supplement,,, #6 Brief, #8 Supplement,,, #9 Supplement,,, #7 Declaration,, . (Attachments: #1 Exhibit 41 - Statement of Claim, #2 Exhibit 42 - Responses and Obj. to Discovery Guide List #2, #3 Exhibit 43 - Email from Kim Monchik, #4 Exhibit 44 - Quality Communications Certification, #5 Exhibit 45 - Spartan Internal Procedures, #6 Exhibit 46 - Spartan Internal Procedures, #7 Exhibit 47 - Statement of Claim, #8 Exhibit 48 - Answer to Statement of Claim, #9 Exhibit 49 - Award) (Rusch, Matthew) (Entered: 10/04/2018)

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1 More Docket Entries
  • 10/04/2018
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  • (#9) SUPPLEMENT by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #6 Brief, #8 Supplement,,, #7 Declaration,, . (Attachments: #1 Exhibit 21 - Brookville Capital Partners Account Summary for May 2014, #2 Exhibit 22 - K.C. Ward Financial Premier Account Statement for Aug. 2015, #3 Exhibit 23 - National Securities Account Statement for April 2014, #4 Exhibit 24 - Aegis Capital Corp. Account Statement for April 2014, #5 Exhibit 25 - K.C. Ward Financial Premier Account Staement for July 2104, #6 Exhibit 26 - K.C. Ward Financial Premier Account Statement for Jan. 2016, #7 Exhibit 27 - Heightened Supervision Checklist, #8 Exhibit 28 - Spartan Daily Blotter, #9 Exhibit 29 - Spartan Daily Blotter, #10 Exhibit 30 - Spartan Ledger for Gross Commissions) (Rusch, Matthew) (Entered: 10/04/2018)

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  • 10/04/2018
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  • (#8) SUPPLEMENT by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #6 Brief, #7 Declaration,, . (Attachments: #1 Exhibit 11 - Wachovia Open Account Info. and Agreement dated June 2009, #2 Exhibit 12 - BancWest Brokerage Account Statement for April 2011, #3 Exhibit 13 - Penson Financial Services New Account Agreement dated Feb. 2012, #4 Exhibit 14 - RGC Option Agreement and Approval Form dated March 2012, #5 Exhibit 15 - John Thomas Financial New Account Application dated March 2012, #6 Exhibit 16 - J.D. Nicholas & Assoc. Premier Account Statement for May 2013, #7 Exhibit 17 - Brookville Capital Partners Premier Account Statement for Dec. 2013, #8 Exhibit 18 - J.D. Nicholas & Assoc. Premier Account Statement for June 2013, #9 Exhibit 19 - Brookville Capital Partners Account Summary for Jan. 2014, #10 Exhibit 20 - Legend Securities Premier Account Statement for April 2014) (Rusch, Matthew) (Entered: 10/04/2018)

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  • 10/04/2018
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  • (#7) DECLARATION of Kim Monchik re #6 Brief . (Attachments: #1 Exhibit 1 - February 2011 Application, #2 Exhibit 2 - March 2011 Client Margin Account Agreement, #3 Exhibit 3 - April 2012 Options Client Agreement and Approval Form, #4 Exhibit 4 - October 2012 Account Application, #5 Exhibit 5 - Oct. 2012 Client RBC Express Credit Account Agreement and Application, #6 Exhibit 6 - Oct. 2012 Options Client Agreement, #7 Exhibit 7 - Letters from Spartan Confirming Trades, #8 Exhibit 8 - Wire/payment authorizations, #9 Exhibit 9 - Activity Letters dated 9/22/13 and 3/12/14, #10 Exhibit 10 - 6/25/12 Letter from Defendants to RGC) (Rusch, Matthew) (Entered: 10/04/2018)

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  • 10/03/2018
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  • (#6) BRIEF by Plaintiffs John Lowry, Robert Murray, Spartan Capital Securities, LLC re #5 MOTION to Vacate Arbitration Award (Rusch, Matthew) (Entered: 10/03/2018)

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  • 09/24/2018
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  • (#5) MOTION to Vacate Arbitration Award by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew) (Entered: 09/24/2018)

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  • 09/24/2018
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  • (#4) MOTION to Strike #1 Complaint by John Lowry, Robert Murray, Spartan Capital Securities, LLC. (Rusch, Matthew) (Entered: 09/24/2018)

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  • 09/21/2018
  • Filing Fee Received from John Lowry, Robert Murray, Spartan Capital Securities, LLC. Fee Amount: $400.00, Receipt No.: #0869-2881849. (SLT) (Entered: 09/21/2018)

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  • 09/21/2018
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  • (#3) RULE 73 MEMORANDUM. (Attachments: #1 AO_085)(SLT) (Entered: 09/21/2018)

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  • 09/21/2018
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  • (#2) CIVIL COVER SHEET. (SLT) (Entered: 09/21/2018)

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  • 09/21/2018
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  • (#1) COMPLAINT filed by Spartan Capital Securities, LLC, John Lowry, Robert Murray in shell case on 9/21/2018. (SLT) (Entered: 09/21/2018)

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