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This case was last updated from PACER on 05/29/2020 at 09:57:08 (UTC).

Warfield v. ICON Advisers, Inc et al

Case Summary

On 03/30/2020 Warfield filed an Other - Arbitration lawsuit against ICON Advisers, Inc. This case was filed in U.S. District Courts, North Carolina Western District. The Judge overseeing this case is Graham Mullen. The case status is Pending - Other Pending.

Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    3:20-CV-00195

  • Filing Date:

    03/30/2020

  • Case Status:

    Pending - Other Pending

  • Case Type:

    Other - Arbitration

  • Court:

    U.S. District Courts

  • Courthouse:

    North Carolina Western District

Judge Details

Presiding Judge

Graham Mullen

 

Party Details

Plaintiff

James Warfield

Defendants

ICON Distributors, Inc.

ICON Advisers, Inc

Attorney/Law Firm Details

Plaintiff Attorneys

Marla S. Bowman

Attorney at Ward and Smith, P.A.

Post Office Box 33009

Raleigh, NC 27636-3009

Gary J. Rickner

Attorney at Ward and Smith, P.A.

P. O. Box 33009, 751 Corporate Center Drive, Suite 300

Raleigh, NC 27636-3009

Defendant Attorney

Jonathan W. Yarbrough

Attorney at Constangy, Brooks & Smith, LLC

84 Peachtree Road, Suite 230

Asheville, NC 28803

 

Court Documents

#18

(#18) ORDER granting #16 Motion for Extension of Time to File Response/Reply re #12 MOTION to Vacate Award Responses due by 5/28/2020. Signed by Senior Judge Graham Mullen on 5/20/2020. (eef) (Entered: 05/21/2020)

#17

(#17) REPLY to Response to Motion re #12 MOTION to Vacate Award by ICON Advisers, Inc, ICON Distributors, Inc.. (Yarbrough, Jonathan) (Entered: 05/20/2020)

#16

(#16) Consent MOTION for Extension of Time to File Response/Reply re: #12 MOTION to Vacate Award by ICON Advisers, Inc, ICON Distributors, Inc.. Responses due by 6/1/2020 (Yarbrough, Jonathan) (Entered: 05/18/2020)

15 #1

Exhibit 1 - Second Declaration of Gary J. Rickner

#15

(#15) RESPONSE in Opposition re #12 MOTION to Vacate Award and Reply in Support of Motion to Confirm Award by James Warfield. Replies due by 5/20/2020 (Attachments: #1 Exhibit 1 - Second Declaration of Gary J. Rickner)(Rickner, Gary) (Entered: 05/13/2020)

#14

(#14) RESPONSE in Opposition re #1 APPLICATION to Confirm or Vacate Arbitration Award by ICON Advisers, Inc, ICON Distributors, Inc.. (Yarbrough, Jonathan) (Entered: 04/29/2020)

13 #1

Yarbrough Declaration

#13

(#13) MEMORANDUM in Support re #12 MOTION to Vacate Award by ICON Advisers, Inc, ICON Distributors, Inc.. (Attachments: #1 Yarbrough Declaration)(Yarbrough, Jonathan) (Attachment 1 replaced on 5/6/2020 for redaction, NEF Regenerated) (tmg). (Entered: 04/29/2020)

#12

(#12) MOTION to Vacate Award by ICON Advisers, Inc, ICON Distributors, Inc.. Responses due by 5/13/2020 (Yarbrough, Jonathan) (Entered: 04/29/2020)

#6

(#6) NOTICE of Appearance by Marla S. Bowman on behalf of James Warfield (Bowman, Marla) (Entered: 03/30/2020)

#5

(#5) NOTICE of Appearance by Gary J. Rickner on behalf of James Warfield (Rickner, Gary) (Entered: 03/30/2020)

#4

(#4) Corporate Disclosure Statement by James Warfield (Rickner, Gary) (Entered: 03/30/2020)

3 #3

Exhibit C - FINRA Award

3 #2

Exhibit B - FINRA Submission Agreements

3 #1

Exhibit A - Amended Statement of Claim

#3

(#3) DECLARATION re #1 APPLICATION to Confirm or Vacate Arbitration Award by Gary J. Rickner filed by James Warfield (Attachments: #1 Exhibit A - Amended Statement of Claim, #2 Exhibit B - FINRA Submission Agreements, #3 Exhibit C - FINRA Award)(Rickner, Gary) (Entered: 03/30/2020)

#2

(#2) MEMORANDUM/BRIEF by James Warfield re: #1 APPLICATION to Confirm or Vacate Arbitration Award (Rickner, Gary) (Entered: 03/30/2020)

#1

(#14) RESPONSE in Opposition re #1 APPLICATION to Confirm or Vacate Arbitration Award by ICON Advisers, Inc, ICON Distributors, Inc.. (Yarbrough, Jonathan) (Entered: 04/29/2020)

16 More Documents Available

 

Docket Entries

  • 05/21/2020
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  • Docket(#18) ORDER granting #16 Motion for Extension of Time to File Response/Reply re #12 MOTION to Vacate Award Responses due by 5/28/2020. Signed by Senior Judge Graham Mullen on 5/20/2020. (eef) (Entered: 05/21/2020)

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  • 05/20/2020
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  • Docket(#17) REPLY to Response to Motion re #12 MOTION to Vacate Award by ICON Advisers, Inc, ICON Distributors, Inc.. (Yarbrough, Jonathan) (Entered: 05/20/2020)

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  • 05/18/2020
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  • Docket(#16) Consent MOTION for Extension of Time to File Response/Reply re: #12 MOTION to Vacate Award by ICON Advisers, Inc, ICON Distributors, Inc.. Responses due by 6/1/2020 (Yarbrough, Jonathan) (Entered: 05/18/2020)

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  • 05/13/2020
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  • Docket(#15) RESPONSE in Opposition re #12 MOTION to Vacate Award and Reply in Support of Motion to Confirm Award by James Warfield. Replies due by 5/20/2020 (Attachments: #1 Exhibit 1 - Second Declaration of Gary J. Rickner)(Rickner, Gary) (Entered: 05/13/2020)

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  • 04/29/2020
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  • Docket(#14) RESPONSE in Opposition re #1 APPLICATION to Confirm or Vacate Arbitration Award by ICON Advisers, Inc, ICON Distributors, Inc.. (Yarbrough, Jonathan) (Entered: 04/29/2020)

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  • 04/29/2020
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  • Docket(#13) MEMORANDUM in Support re #12 MOTION to Vacate Award by ICON Advisers, Inc, ICON Distributors, Inc.. (Attachments: #1 Yarbrough Declaration)(Yarbrough, Jonathan) (Attachment 1 replaced on 5/6/2020 for redaction, NEF Regenerated) (tmg). (Entered: 04/29/2020)

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  • 04/29/2020
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  • Docket(#12) MOTION to Vacate Award by ICON Advisers, Inc, ICON Distributors, Inc.. Responses due by 5/13/2020 (Yarbrough, Jonathan) (Entered: 04/29/2020)

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  • 04/13/2020
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  • Docket(#11) Miscellaneous Filing by James Warfield. (Acceptance of Service re ICON Defendants) (Rickner, Gary) (Entered: 04/13/2020)

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  • 04/08/2020
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  • DocketTEXT-ONLY ORDER granting #8 Motion for Extension of Time to File Response/Reply re #8 Consent MOTION for Extension of Time to File Notice and Motion to Vacate Arbitration Award Responses due by 4/30/2020. Entered by Senior Judge Graham Mullen on April 8, 2020. (DC) (Entered: 04/08/2020)

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  • 04/08/2020
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  • Docket(#10) Corporate Disclosure Statement by ICON Distributors, Inc. (Yarbrough, Jonathan) (Entered: 04/08/2020)

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  • 04/08/2020
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  • Docket(#9) Corporate Disclosure Statement by ICON Advisers, Inc (Yarbrough, Jonathan) (Entered: 04/08/2020)

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  • 04/07/2020
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  • Docket(#8) Consent MOTION for Extension of Time to File Notice and Motion to Vacate Arbitration Award by ICON Advisers, Inc, ICON Distributors, Inc.. Responses due by 4/21/2020 (Yarbrough, Jonathan) (Entered: 04/07/2020)

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  • 03/31/2020
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  • Docket(#7) Summons Issued Electronically as to ICON Advisers, Inc, ICON Distributors, Inc.. NOTICE: Counsel shall print the summons and serve with other case opening documents in accordance with Fed.R.Civ.P.4 . (Attachments: #1 Summons)(brj) (Entered: 03/31/2020)

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  • 03/30/2020
  • DocketCase assigned to Senior Judge Graham Mullen. Notice: You must click this link to retrieve the #Case Assignment Packet. This is your only notice - you will not receive a separate document.(brj) (Entered: 03/31/2020)

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  • 03/30/2020
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  • Docket(#6) NOTICE of Appearance by Marla S. Bowman on behalf of James Warfield (Bowman, Marla) (Entered: 03/30/2020)

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  • 03/30/2020
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  • Docket(#5) NOTICE of Appearance by Gary J. Rickner on behalf of James Warfield (Rickner, Gary) (Entered: 03/30/2020)

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  • 03/30/2020
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  • Docket(#4) Corporate Disclosure Statement by James Warfield (Rickner, Gary) (Entered: 03/30/2020)

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  • 03/30/2020
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  • Docket(#3) DECLARATION re #1 APPLICATION to Confirm or Vacate Arbitration Award by Gary J. Rickner filed by James Warfield (Attachments: #1 Exhibit A - Amended Statement of Claim, #2 Exhibit B - FINRA Submission Agreements, #3 Exhibit C - FINRA Award)(Rickner, Gary) (Entered: 03/30/2020)

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  • 03/30/2020
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  • Docket(#2) MEMORANDUM/BRIEF by James Warfield re: #1 APPLICATION to Confirm or Vacate Arbitration Award (Rickner, Gary) (Entered: 03/30/2020)

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  • 03/30/2020
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  • Docket(#1) APPLICATION to Confirm Arbitration Award (Filing fee $ 400 receipt number 0419-4442590), filed by James Warfield.(Rickner, Gary) (Entered: 03/30/2020)

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