Lockette v. Morgan Stanley
| New York Southern District Court | |
| Judge: | John G Koeltl |
| Case #: | 1:18-cv-00876 |
| Nature of Suit | 442 Civil Rights - Employment |
| Cause | 42:1981 Civil Rights |
| Case Filed: | Jan 31, 2018 |
| Terminated: | Oct 03, 2018 |
| Last checked: Monday Jul 30, 2018 5:47 AM EDT |
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Defendant
Morgan Stanley
111 Eighth Avenue
New York, NY 10011 |
Represented By
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Defendant
Morgan Stanley & Co. LLC
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Represented By
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Defendant
Morgan Stanley Smith Barney LLC
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Represented By
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Plaintiff
John Lockette
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Represented By
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| Docket last updated: 11/03/2024 11:59 PM EST |
| Thursday, February 21, 2019 | ||
| 38 | 38
1
pgs
order
Order Admitting Attorney Pro Hac Vice
Thu 02/21 11:02 AM
ORDER FOR ADMISSION PRO HAC VICE. The motion of Suzanne E. Bish, for admission to practice Pro Hac Vice in the above captioned action is granted. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Attorney Suzanne Elaine Bish for John Lockette admitted Pro Hac Vice.) (Signed by Judge John G. Koeltl on 2/20/19) (yv) |
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| Thursday, November 01, 2018 | ||
| 37 | 37
misc
Notice of Filing Transcript
Thu 11/01 11:50 AM
NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 9/28/18 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) |
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| 36 | 36
misc
Transcript
Thu 11/01 11:46 AM
TRANSCRIPT of Proceedings re: conference held on 9/28/2018 before Judge John G. Koeltl. Court Reporter/Transcriber: Kelly Surina, (212) 805-0300. Transcript may be viewed at the court public terminal or 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 11/23/2018. Redacted Transcript Deadline set for 12/3/2018. Release of Transcript Restriction set for 1/30/2019.(McGuirk, Kelly) |
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| Wednesday, October 03, 2018 | ||
| 35 | 35
16
pgs
order
Memorandum & Opinion ~Util - Case Stayed
Wed 10/03 4:40 PM
MEMORANDUM OPINION AND ORDER re:11 MOTION to Compel Arbitration and Stay This Action . filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC. The Court has considered all of the arguments raised by the parties. To the extent not specifically addressed, the arguments are either moot or without merit. For the reasons explained above, the defendants' motion to compel arbitration is granted. This case is stayed pending the conclusion of the arbitration. The Clerk of Court is directed to close this case on the active docket of the Court subject to reinstatement depending on any developments in the arbitration. SO ORDERED., (Case stayed.) (Signed by Judge John G. Koeltl on 10/3/18) (yv) |
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| Friday, September 28, 2018 | ||
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minutes
Oral Argument
Thu 10/04 2:56 PM
Minute Entry for proceedings held before Judge John G. Koeltl: Oral Argument held on 9/28/2018 re:11 MOTION to Compel Arbitration and Stay This Action. Filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC. (Fletcher, Donnie) |
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| Friday, September 21, 2018 | ||
| 34 | 34
notice
Notice of Appearance
Fri 09/21 4:30 PM
NOTICE OF APPEARANCE by Sam Scott Shaulson on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC. (Shaulson, Sam) |
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misc
Notice Regarding Pro Hac Vice Motion
Fri 09/21 7:18 AM
>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 33 MOTION for Suzanne E. Bish to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15597745. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) |
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| Thursday, September 20, 2018 | ||
| 33 | 33
motion
Appear Pro Hac Vice
Thu 09/20 4:49 PM
MOTION for Suzanne E. Bish to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15597745. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by John Lockette.(Bish, Suzanne) |
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| Tuesday, September 11, 2018 | ||
| 32 | 32
notice
Notice of Hearing
Tue 09/11 12:19 PM
NOTICE OF ORAL ARGUMENT: To All Parties, You are directed to appear for oral argument on the pending motion(s), to be held on Friday, September 28, 2018, at 2:30 p.m. in Courtroom 14A, before the Honorable John G. Koeltl. All requests for adjournments must be made in writing to the Court. For any further information, please contact the Court at (212)805-0107. (Oral Argument set for 9/28/2018 at 02:30 PM in Courtroom 14A, 500 Pearl Street, New York, NY 10007 before Judge John G. Koeltl.)(jca) |
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| Friday, July 27, 2018 | ||
| 31 | 31
respm
Declaration in Support of Motion
Fri 07/27 8:35 PM
DECLARATION of Scott Drever in Support re:11 MOTION to Compel Arbitration and Stay This Action .. Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC. (Schaffran, Andrew) |
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| 30 | 30
respm
Declaration in Support of Motion
Fri 07/27 8:32 PM
DECLARATION of Keith Waggoner in Support re:11 MOTION to Compel Arbitration and Stay This Action .. Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC.(Schaffran, Andrew) |
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Att: 1
Exhibit 1 - Blastmail Report
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| 29 | 29
respm
Reply Memorandum of Law in Support of Motion
Fri 07/27 8:29 PM
REPLY MEMORANDUM OF LAW in Support re:11 MOTION to Compel Arbitration and Stay This Action . . Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC. (Schaffran, Andrew) |
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| Friday, July 06, 2018 | ||
| 28 | 28
respm
Declaration in Opposition to Motion
Fri 07/06 6:35 PM
DECLARATION of Shona B. Glink in Opposition re:11 MOTION to Compel Arbitration and Stay This Action .. Document filed by John Lockette.(Friedman, Linda) |
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Att: 1
Exhibit A,
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Att: 2
Exhibit B,
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Att: 3
Exhibit C,
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Att: 4
Exhibit D,
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Att: 5
Exhibit E,
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Att: 6
Exhibit F,
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Att: 7
Exhibit G,
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Att: 8
Exhibit H,
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Att: 9
Exhibit I,
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Att: 10
Exhibit J,
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Att: 11
Exhibit K,
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Att: 12
Exhibit L,
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Att: 13
Exhibit M,
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Att: 14
Exhibit N
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| 27 | 27
respm
Declaration in Opposition to Motion
Fri 07/06 6:25 PM
DECLARATION of John Lockette in Opposition re:11 MOTION to Compel Arbitration and Stay This Action .. Document filed by John Lockette. (Friedman, Linda) |
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| 26 | 26
28
pgs
respm
Memorandum of Law in Opposition to Motion
Fri 07/06 6:23 PM
MEMORANDUM OF LAW in Opposition re:11 MOTION to Compel Arbitration and Stay This Action . Plaintiff's Memorandum of Law In Opposition To Defendants' Motion to Compel Arbitration . Document filed by John Lockette. (Friedman, Linda) |
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| Friday, June 29, 2018 | ||
| 25 | 25
1
pgs
order
Order on Motion for Extension of Time to File Response/Reply
Fri 06/29 11:37 AM
REVISED SCHEDULING ORDER: granting24 Letter Motion for Extension of Time to File Response/Reply re24 LETTER MOTION for Extension of Time to File Response/Reply as to21 Order on Motion for Discovery, Plaintiff's Motion for Extension of Time to File Response to Defendants' Motion to Compel and attached [Proposed] Revised Scheduling Order. IT IS HEREBY ORDERED that Plaintiff's Motion for Extension of Time to respond to Defendants' Motion to Compel is granted. Plaintiff's Response to Defendants' Motion to Compel is due on or before July 6, 2018 and Defendants' Reply is due on or before July 27, 2018. SO ORDERED. Responses due by 7/6/2018 Replies due by 7/27/2018. (Signed by Judge John G. Koeltl on 6/28/2018) (ama) |
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| Thursday, June 28, 2018 | ||
| 24 | 24
motion
Extension of Time to File Response/Reply
Thu 06/28 4:35 PM
LETTER MOTION for Extension of Time to File Response/Reply as to21 Order on Motion for Discovery, Plaintiff's Motion for Extension of Time to File Response to Defendants' Motion to Compel and attached [Proposed] Revised Scheduling Order addressed to Judge John G. Koeltl from Shona B. Glink dated 06 28-2018 Document filed by John Lockette.(Glink, Shona) |
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| 23 | 23
1
pgs
order
Order on Motion to Appear Pro Hac Vice
Thu 06/28 1:09 PM
ORDER FOR ADMISSION PRO HAC VICE granting22 Motion for Linda D. Friedman to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hae Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline or attorneys. (Signed by Judge John G. Koeltl on 6/27/18) (yv) |
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| Tuesday, June 26, 2018 | ||
| 22 | 22
motion
Appear Pro Hac Vice
Tue 06/26 3:40 PM
MOTION for Linda D. Friedman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15250429. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by John Lockette.(Friedman, Linda) |
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misc
Notice Regarding Pro Hac Vice Motion
Tue 06/26 3:54 PM
>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 22 MOTION for Linda D. Friedman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15250429. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc) |
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| Monday, June 04, 2018 | ||
| 21 | 21
1
pgs
order
Order on Motion for Discovery
Mon 06/04 12:54 PM
ORDER: granting16 Letter Motion for Discovery. The plaintiff's opposition to the motion to compel arbitration is due on June 29, 2018. The defendants' reply is due on July 20, 2018. The defendant shall produce discovery with respect to the motion to compel arbitration per the parties' agreement by June 8, 2018. SO ORDERED. (Signed by Judge John G. Koeltl on 6/01/2018) (ama) |
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utility
Set/Reset Deadlines
Mon 06/04 12:55 PM
Set/Reset Deadlines: Responses due by 6/29/2018 Replies due by 7/20/2019. (ama) |
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| Friday, June 01, 2018 | ||
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minutes
Scheduling Conference
Tue 07/10 12:17 PM
Minute Entry for proceedings held before Judge John G. Koeltl: Scheduling Conference held on 6/1/2018. (Fletcher, Donnie) |
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| Friday, May 25, 2018 | ||
| 20 | 20
misc
Letter
Fri 05/25 4:06 PM
LETTER addressed to Judge John G. Koeltl from Shona B. Glink dated 5/25/18 re: Letter Motion for Limited Discovery. Document filed by John Lockette.(Glink, Shona) |
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| Thursday, May 24, 2018 | ||
| 19 | 19
order
Memo Endorsement ~Util - Set Hearings
Thu 05/24 3:11 PM
MEMO ENDORSEMENT on re:18 Letter response to Plaintiff's application "for leave to serve limited discovery on Defendants...relating solely to Defendants' Motio n to Compel Arbitration" and "for a 60-day extension of the briefing schedule on Defendants' Motion.", filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC. ENDORSEMENT: A conference in this matter will be held on Friday, June 1, 2018, at 10:30am. So Ordered., (Status Conference set for 6/1/2018 at 10:30 AM before Judge John G. Koeltl.) (Signed by Judge John G. Koeltl on 5/24/18) (yv) |
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| Wednesday, May 23, 2018 | ||
| 18 | 18
misc
Letter
Wed 05/23 3:30 PM
LETTER addressed to Judge John G. Koeltl from Andrew J. Schaffran dated May 23, 2018 re: Defendants' response to Plaintiff's application "for leave to serve limited discovery on Defendants...relating solely to Defendants' Motion to Compel Arbitration" and "for a 60-day extension of the briefing schedule on Defendants' Motion.". Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC.(Schaffran, Andrew) |
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| Monday, May 21, 2018 | ||
| 17 | 17
misc
Letter
Mon 05/21 6:28 PM
LETTER addressed to Judge John G. Koeltl from Brendan T. Killeen dated May 21, 2018 re: Defendants intend to file a response to Plaintiff's application for leave to serve limited discovery on Defendants relating solely to Defendants' Motion to Compel Arbitration. Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC.(Killeen, Brendan) |
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| Friday, May 18, 2018 | ||
| 16 | 16
motion
Discovery
Fri 05/18 4:36 PM
LETTER MOTION for Discovery Letter Application for Limited Discovery addressed to Judge John G. Koeltl from Shona B. Glink dated 5/18/18. Document filed by John Lockette.(Glink, Shona) |
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| Friday, May 04, 2018 | ||
| 15 | 15
misc
Letter
Fri 05/04 7:34 PM
LETTER addressed to Judge John G. Koeltl from Andrew J. Schaffran dated May 4, 2018 re: Respectfully Requesting Oral Argument on Defendants' Motion to Compel Arbitration. Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC.(Schaffran, Andrew) |
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| 14 | 14
respm
Declaration in Support of Motion
Fri 05/04 7:31 PM
DECLARATION of Jessica Krentzman in Support re:11 MOTION to Compel Arbitration and Stay This Action .. Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC.(Schaffran, Andrew) |
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Att: 1
Exhibit 1 - Pre-2015 CARE Arbitration Guidebook,
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Att: 2
Exhibit 2 - CARE Arbitration Announcement,
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Att: 3
Exhibit 3 - CARE Arbitration Agreement,
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Att: 4
Exhibit 4 - 2015 CARE Arbitration Guidebook,
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Att: 5
Exhibit 5 - CARE Opt-Out Form
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| 13 | 13
respm
Declaration in Support of Motion
Fri 05/04 7:25 PM
DECLARATION of Scott Drever in Support re:11 MOTION to Compel Arbitration and Stay This Action .. Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC.(Schaffran, Andrew) |
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Att: 1
Exhibit 1 - Lockette's Countersigned Offer Letter,
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Att: 2
Exhibit 2 - December 2, 2015 Email,
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Att: 3
Exhibit 3 - May 22, 2015 Email,
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Att: 4
Exhibit 4 - List of Subjects
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| 12 | 12
30+
pgs
respm
Memorandum of Law in Support of Motion
Fri 05/04 7:20 PM
MEMORANDUM OF LAW in Support re:11 MOTION to Compel Arbitration and Stay This Action . . Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC. (Schaffran, Andrew) |
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| 11 | 11
motion
Compel Arbitration
Fri 05/04 7:19 PM
MOTION to Compel Arbitration and Stay This Action . Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC.(Schaffran, Andrew) |
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| Thursday, April 05, 2018 | ||
| 10 | 10
2
pgs
order
Order on Motion to Adjourn Conference
Thu 04/05 12:42 PM
ORDER granting9 LETTER MOTION to Adjourn Conference presently scheduled for Thursday, April 19, 2018, to stay merits discovery, and to propose a briefing schedule for Defendants' anticipated Motion to Compel Arbitration addressed to Judge John G. Koeltl from Andrew J. Schaffran dated April 3, 2018. Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC. Motion to Compel Arbitration due May 4, 2018. Opposition due June 8, 2018. Reply due June 22, 2018. Discovery stayed subject to any applications for specific discovery. April 19, 2018 conference is canceled. So ordered. Hearings Terminated*** The following hearing(s) was terminated: Initial Conference. (Signed by Judge John G. Koeltl on 4/4/2018) (rjm) |
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utility
Set/Reset Deadlines
Thu 04/05 12:44 PM
Set/Reset Deadlines: Motions due by 5/4/2018. Responses due by 6/8/2018. Replies due by 6/22/2018. (rjm) |
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| Tuesday, April 03, 2018 | ||
| 9 | 9
motion
Adjourn Conference
Tue 04/03 6:30 PM
LETTER MOTION to Adjourn Conference presently scheduled for Thursday, April 19, 2018, to stay merits discovery, and to propose a briefing schedule for Defendants' anticipated Motion to Compel Arbitration addressed to Judge John G. Koeltl from Andrew J. Schaffran dated April 3, 2018. Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC.(Schaffran, Andrew) |
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| Tuesday, March 20, 2018 | ||
| 8 | 8
misc
Rule 7.1 Corporate Disclosure Statement
Tue 03/20 7:27 PM
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Morgan Stanley Capital Management, LLC, Corporate Parent Morgan Stanley Domestic Holdings, Inc. for Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC; Other Affiliate Mitsubishi UFJ Financial Group, Inc. for Morgan Stanley. Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC.(Schaffran, Andrew) |
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| 7 | 7
notice
Notice of Appearance
Tue 03/20 7:14 PM
NOTICE OF APPEARANCE by Nicole M Zito on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC. (Zito, Nicole) |
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| 6 | 6
notice
Notice of Appearance
Tue 03/20 7:13 PM
NOTICE OF APPEARANCE by Brendan Thomas Killeen on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC. (Killeen, Brendan) |
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| 5 | 5
notice
Notice of Appearance
Tue 03/20 7:11 PM
NOTICE OF APPEARANCE by Andrew Jay Schaffran on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Smith Barney LLC. (Schaffran, Andrew) |
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| Wednesday, February 21, 2018 | ||
| 4 | 4
notice
Notice of Hearing
Thu 02/22 9:09 AM
NOTICE OF COURT CONFERENCE: You are directed to appear for a pretrial conference, to be held on Thursday, April 19, 2018, in Courtroom 14A at 4:30pm in front of the Honorable John G. Koeltl. All requests for adjournments must be made in writing to the Court. For any further information, please contact the Court at (212) 805-0107. Don Fletcher, Courtroom Case Manager. (Initial Conference set for 4/19/2018 at 04:30 PM in Courtroom 14A, U.S. Courthouse, 500 Pearl Street, New York, NY 10007 before Judge John G. Koeltl). (rjm) |
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| Thursday, February 01, 2018 | ||
| 3 | 3
misc
Civil Cover Sheet
Thu 02/01 1:33 PM
CIVIL COVER SHEET filed. (Glink, Shona) |
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| 2 | 2
misc
Civil Cover Sheet
Thu 02/01 9:13 AM
FILING ERROR - DEFICIENT CIVIL COVER SHEET - SIGNATURE ERROR - CIVIL COVER SHEET filed. (Glink, Shona) Modified on 2/1/2018 (sj) |
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| 1 | 1
18
pgs
cmp
Complaint
Thu 02/01 9:10 AM
COMPLAINT against Morgan Stanley, Morgan Stanley Smith Barney LLC, Morgan Stanley & Co. LLC. (Filing Fee $ 400.00, Receipt Number 0208-14647876)Document filed by John Lockette.(Glink, Shona) |
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misc
Notice to Attorney Regarding Deficient Civil Cover Sheet
Thu 02/01 1:11 PM
***NOTICE TO ATTORNEY REGARDING DEFICIENT CIVIL COVER SHEET. Notice to attorney Shona Glink to RE-FILE Document No. 2 Civil Cover Sheet. The filing is deficient for the following reason(s): Civil cover sheet was not signed. Re-file the document using the event type Civil Cover Sheet found under the event list Other Documents and attach the correct PDF. Use civil cover sheet issued by S.D.N.Y. dated June 2017. The S.D.N.Y. Civil Cover Sheet dated June 2017 is located at http://nysd.uscourts.gov/file/forms/civil-cover-sheet. (sj) |
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notice
Case Opening Initial Assignment Notice
Thu 02/01 1:13 PM
CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge John G. Koeltl. Please download and review the Individual Practices of the assigned District Judge, located at[LINK:http://nysd.uscourts.gov/judges/District] . Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at[LINK:http://nysd.uscourts.gov/ecf_filing.php] . (sj) |
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utility
Case Designation
Thu 02/01 1:14 PM
Magistrate Judge Henry B. Pitman is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link:[LINK:http://nysd.uscourts.gov/forms.php] . (sj) |
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utility
Case Designated ECF
Thu 02/01 1:15 PM
Case Designated ECF. (sj) |
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