Ladenburg Thalmann & Co. Inc. v. Oragenics, Inc.
| Florida Southern District Court | |
| Judge: | Darrin P Gayles |
| Referred: | Jonathan Goodman |
| Case #: | 1:24-cv-21431 |
| Nature of Suit | 190 Contract - Other Contract |
| Cause | 28:1332 Diversity-Breach of Contract |
| Case Filed: | Apr 17, 2024 |
| Terminated: | Mar 25, 2025 |
| Last checked: Monday Oct 14, 2024 4:22 AM EDT |
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Defendant
Oragenics, Inc.
1990 MainSt Ste.750
Sarasota, FL 34236 |
Represented By
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Plaintiff
Ladenburg Thalmann & Co. Inc.
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Represented By
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GPO
May 03 2024
REPORT AND RECOMMENDATIONS on 7 Plaintiff's MOTION for Temporary Restraining Order and Preliminary Injunctive Relief. Objections to R&R due by 5/17/2024. Signed by Magistrate Judge Jonathan Goodman on 5/3/2024. See attached document for full details. (mkr) |
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GPO
Jun 11 2024
ORDER adopting 26 Report and Recommendation and denying 7 Plaintiff's Verified Motion for Temporary Restraining Order and Preliminary Injunctive Relief. Signed by Judge Darrin P. Gayles See attached document for full details. (hs01) |
| Docket last updated: 71 minutes ago |
| Tuesday, March 25, 2025 | ||
| 39 | 39
order
Order Dismissing/Closing Case or Party
Tue 03/25 9:22 AM
PAPERLESS ORDER dismissing action without prejudice pursuant to38 the parties' Stipulation for Dismissal Without Prejudice. Defendant's Motion to Dismiss or in the Alternative Stay and Compel Arbitration27 is denied as moot. Signed by Judge Darrin P. Gayles on 3/25/2025. (hs01) |
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| Monday, March 24, 2025 | ||
| 38 | 38
misc
Stipulation of Dismissal - aty
Mon 03/24 5:36 PM
STIPULATION of Dismissal Without Prejudice by Ladenburg Thalmann & Co. Inc. |
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| Thursday, March 20, 2025 | ||
| 37 | 37
order
Order Setting Hearing on Motion
Thu 03/20 2:30 PM
PAPERLESS ORDER Setting Hearing on27 Defendant's Motion to Dismiss or in the Alternative Stay and Compel Arbitration for March 28, 2025, at 10:00 a.m. in the Miami Division before Judge Darrin P. Gayles at the Wilkie D. Ferguson Jr. U.S. Courthouse, 400 North Miami Avenue, Courtroom 11-1, Miami, Florida. Signed by Judge Darrin P. Gayles on 3/20/2025. (hs01) |
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| Monday, June 24, 2024 | ||
| 36 | 36
respm
Reply to Response to Motion
Mon 06/24 11:17 AM
REPLY to Response to Motion re27 Defendant's MOTION to Dismiss for Lack of Jurisdiction1 Complaint or in the Alternative Stay and Compel Arbitration filed by Oragenics, Inc..(Malone, Jarrod) |
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Att: 1
Exhibit 1 Investment Banking Agmt
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| Tuesday, June 18, 2024 | ||
| 35 | 35
respm
Response in Opposition to Motion
Tue 06/18 5:24 PM
RESPONSE in Opposition re27 Defendant's MOTION to Dismiss for Lack of Jurisdiction1 Complaint or in the Alternative Stay and Compel Arbitration filed by Ladenburg Thalmann & Co. Inc.. Replies due by 6/25/2024. |
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| Tuesday, June 11, 2024 | ||
| 34 | 34
order
Order on Motion for Extension of Time to File Response/Reply/Answer
Tue 06/11 5:19 PM
PAPERLESS ORDER granting in part29 Plaintiff's Motion for Extension of Time to Respond to Defendant's Motion to Dismiss or in the Alternative Stay and Compel Arbitration. By June 18, 3024, Plaintiff shall respond to27 Defendant's Motion to Dismiss or in the Alternative Stay and Compel Arbitration. Signed by Judge Darrin P. Gayles (hs01) |
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| 33 | 33
2
pgs
order
Order on Motion for Temporary Restraining Order Order on Report and Recommendations
Tue 06/11 5:17 PM
ORDER adopting26 Report and Recommendation and denying7 Plaintiff's Verified Motion for Temporary Restraining Order and Preliminary Injunctive Relief. Signed by Judge Darrin P. Gayles See attached document for full details. (hs01) |
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utility
~Util - Set/Reset Motion/R&R Deadlines and Hearings
Wed 06/12 8:01 AM
Set/Reset Deadlines/Hearings as to27 Defendant's MOTION to Dismiss for Lack of Jurisdiction1 Complaint or in the Alternative Stay and Compel Arbitration . (per order de#29) Responses due by 6/18/2024. (drz) |
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| Thursday, May 30, 2024 | ||
| 32 | 32
respoth
Response to Objection to Report and Recommendations
Thu 05/30 3:00 PM
RESPONSE TO OBJECTION to26 Report and Recommendations by Oragenics, Inc.. (Malone, Jarrod) |
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| Thursday, May 23, 2024 | ||
| 31 | 31
respm
Response in Opposition to Motion
Thu 05/23 3:26 PM
RESPONSE in Opposition re29 Plaintiff's MOTION for Extension of Time to File Response/Reply/Answer as to27 Defendant's MOTION to Dismiss for Lack of Jurisdiction1 Complaint or in the Alternative Stay and Compel Arbitration filed by Oragenics, Inc.. Replies due by 5/30/2024.(Malone, Jarrod) |
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Att: 1
Text of Proposed Order A - proposed order
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| 30 | 30
order
- Order (PAPERLESS or pdf attached)
Thu 05/23 6:49 AM
PAPERLESS ORDER. On or before Friday, May 24, 2024, Defendant shall file a response to29 Plaintiff's Motion for Extension of Time to Respond to Defendant's Motion to Dismiss or in the Alternative Stay and Compel Arbitration. Signed by Judge Darrin P. Gayles (hs01) |
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utility
~Util - Set/Reset Motion/R&R Deadlines and Hearings
Thu 05/23 8:28 AM
Set/Reset Deadlines/Hearings as to27 Defendant's MOTION to Dismiss for Lack of Jurisdiction1 Complaint or in the Alternative Stay and Compel Arbitration . (per order de#30) Responses due by 5/24/2024. (drz) |
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| Tuesday, May 21, 2024 | ||
| 29 | 29
motion
Extension of Time to File Response/Reply/Answer
Tue 05/21 1:26 PM
Plaintiff's MOTION for Extension of Time to File Response/Reply/Answer as to27 Defendant's MOTION to Dismiss for Lack of Jurisdiction1 Complaint or in the Alternative Stay and Compel Arbitration by Ladenburg Thalmann & Co. Inc.. |
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Att: 1
Text of Proposed Order Exhibit A (Proposed Order)
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| Friday, May 17, 2024 | ||
| 28 | 28
respoth
Objections to Report and Recommendations
Fri 05/17 4:44 PM
OBJECTIONS to26 Report and Recommendations by Ladenburg Thalmann & Co. Inc.. |
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| Thursday, May 09, 2024 | ||
| 27 | 27
motion
Dismiss/Lack of Jurisdiction
Thu 05/09 4:20 PM
Defendant's MOTION to Dismiss for Lack of Jurisdiction1 Complaint or in the Alternative Stay and Compel Arbitration by Oragenics, Inc.. Responses due by 5/23/2024.(Malone, Jarrod) |
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Att: 1
Exhibit A - Investment Banking Agreement,
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Att: 2
Exhibit B - FINRA letter dtd 3-12-24,
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Att: 3
Exhibit C - FINRA Rule 12512,
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Att: 4
Exhibit D - FINRA Rule 12513,
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Att: 5
Exhibit E - proposed Order
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| Friday, May 03, 2024 | ||
| 26 | 26
motion
Report and Recommendations
Fri 05/03 2:01 PM
REPORT AND RECOMMENDATIONS on7 Plaintiff's MOTION for Temporary Restraining Order and Preliminary Injunctive Relief. Objections to R&R due by 5/17/2024. Signed by Magistrate Judge Jonathan Goodman on 5/3/2024. See attached document for full details. (mkr) |
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| Tuesday, April 30, 2024 | ||
| 25 | 25
notice
Notice of Supplemental Authority
Tue 04/30 4:46 PM
Notice of Supplemental Authority by Ladenburg Thalmann & Co. Inc. |
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Att: 1
20 pgs
Exhibit A (Cited Authority/Case Law)
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| 24 | 24
notice
Notice (Other)
Tue 04/30 4:28 PM
Plaintiff's NOTICE OF FILING DECLARATION OF NICHOLAS STERGIS by Ladenburg Thalmann & Co. Inc. |
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Att: 1
125 pgs
Affidavit Declaration of Nicholas Stergis
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| 23 | 23
notice
Notice of Supplemental Authority
Tue 04/30 4:11 PM
Notice of Supplemental Authority re19 Response in Opposition to Motion,,21 Order by Oragenics, Inc. (Malone, Jarrod) |
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| 22 | 22
misc
Affidavit
Tue 04/30 4:09 PM
AFFIDAVIT DECLARATION signed by: Mark A. Catchur, Esq. re21 Order,19 Response in Opposition to Motion,, by Oragenics, Inc.(Malone, Jarrod) |
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Att: 1
Exhibit 1 - 11/28/22 redline,
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Att: 2
Exhibit 2 - 12/2/22 redline
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| Friday, April 26, 2024 | ||
| 21 | 21
order
- Order (PAPERLESS or pdf attached)
Fri 04/26 2:10 PM
POST-HEARING ADMINISTRATIVE ORDER. Signed by Magistrate Judge Jonathan Goodman on 4/26/2024. See attached document for full details. (mkr) |
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| 20 | 20
minutes
MOTION Hearing or Evidentiary Motion Hearing
Fri 04/26 11:16 AM
PAPERLESS Minute Entry for proceedings held before Magistrate Judge Jonathan Goodman: Motion Hearing held on 4/26/2024 re7 Plaintiff's MOTION for Temporary Restraining Order and Preliminary Injunctive Relief. Post-Hearing Administrative Order to follow. Total time in court: 1 hour(s) : 42 minutes. Attorney Appearance(s): Mark J. Astarita, Patrick Joseph Rengstl, Justin Patrick Senior, (Digital JG-09:26:47) (fbn) |
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| Wednesday, April 24, 2024 | ||
| 19 | 19
respm
Response in Opposition to Motion
Wed 04/24 4:48 PM
RESPONSE in Opposition re7 Plaintiff's MOTION for Temporary Restraining Order and Preliminary Injunctive Relief filed by Oragenics, Inc.. Replies due by 5/1/2024.(Malone, Jarrod) |
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Att: 1
29 pgs
Exhibit A - Oragenics Statement of Claim,
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Att: 2
Exhibit B - FINRA service letter,
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Att: 3
Exhibit C - Ladenburg CRD,
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Att: 4
Exhibit D - Investment Banking Agreement,
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Att: 5
Exhibit E - 5-15-23 addendum,
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Att: 6
Exhibit F - 7-14-23 addendum,
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Att: 7
Exhibit G - FINRA Rule 12200,
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Att: 8
Exhibit H - Regulatory Notice 16-25,
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Att: 9
76 pgs
Exhibit I - Oragenics 4-19-24 letter to FINRA,
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Att: 10
3 pgs
Exhibit J - proposed Order
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| 18 | 18
notice
Notice (Other)
Wed 04/24 12:09 PM
Joint NOTICE RE: SOLELY ARGUMENT OF COUNSEL FOR HEARING ON APRIL 26, 2024 by Ladenburg Thalmann & Co. Inc. |
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| Tuesday, April 23, 2024 | ||
| 17 | 17
order
Order on Motion for Leave to File Excess Pages
Tue 04/23 1:55 PM
PAPERLESS ORDER granting15 Defendant's Unopposed MOTION for Leave to File Excess Pages. Defendant is granted leave to file a response memorandum to7 Plaintiff's Motion for Temporary Restraining Order and Preliminary Injunctive Relief not to exceed 24-pages in length. Signed by Magistrate Judge Jonathan Goodman on 4/23/2024. (mkr) |
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| 16 | 16
notice
Notice of Attorney Appearance
Tue 04/23 1:45 PM
NOTICE of Attorney Appearance by Jarrod J. Malone on behalf of Oragenics, Inc.. Attorney Jarrod J. Malone added to party Oragenics, Inc.(pty:dft). (Malone, Jarrod) |
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| 15 | 15
motion
File Excess Pages
Tue 04/23 1:42 PM
Unopposed MOTION for Leave to File Excess Pages by Oragenics, Inc..(Senior, Justin) |
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Att: 1
Text of Proposed Order
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| 14 | 14
notice
Notice of Attorney Appearance
Tue 04/23 1:03 PM
NOTICE of Attorney Appearance by Justin Patrick Senior on behalf of Oragenics, Inc.. Attorney Justin Patrick Senior added to party Oragenics, Inc.(pty:dft). (Senior, Justin) |
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| Monday, April 22, 2024 | ||
| 13 | 13
notice
Notice (Other)
Mon 04/22 12:32 PM
Plaintiff's NOTICE OF FILING SUPPLEMENTAL CERTIFICATION OF MARK J. ASTARITA, ESQ. by Ladenburg Thalmann & Co. Inc. |
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Att: 1
Exhibit A (Supplemental Certification)
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| Friday, April 19, 2024 | ||
| 12 | 12
notice
Notice (Other)
Fri 04/19 4:15 PM
Plaintiff's NOTICE OF FILING DEFENDANT'S EMERGENCY LETTER REQUEST TO FINRA DATED APRIL 19, 2024 by Ladenburg Thalmann & Co. Inc. |
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Att: 1
Exhibit A (Defendant's Emergency Letter Request to FINRA)
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| 11 | 11
notice
Notice of Compliance
Fri 04/19 3:01 PM
NOTICE of Compliance by Ladenburg Thalmann & Co. Inc. re10 Order Setting Hearing on Motion, |
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Att: 1
Exhibit A (Affidavit of Service)
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| Thursday, April 18, 2024 | ||
| 10 | 10
2
pgs
order
Order Setting Hearing on Motion
Thu 04/18 11:59 AM
ORDER Setting In-Person Hearing on Motion7 Plaintiff's MOTION for Temporary Restraining Order and Preliminary Injunctive Relief : Motion Hearing set for 4/26/2024 09:30 AM in Miami Division before Magistrate Judge Jonathan Goodman. Signed by Magistrate Judge Jonathan Goodman on 4/18/2024. See attached document for full details. (mkr) |
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| 9 | 9
order
Order on Motion to Appear Pro Hac Vice
Thu 04/18 10:10 AM
PAPERLESS ORDER granting6 Motion to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing. Mark J. Astarita is permitted to appear before this Court on behalf of Plaintiff Ladenburg Thalmann & Co. Inc. in the above-styled case. The Clerk shall provide electronic notification of all electronic filings to Mr. Astarita at mja@sallahlaw.com. Signed by Judge Darrin P. Gayles (hs01) |
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| 8 | 8
order
Order Referring Motion
Thu 04/18 9:44 AM
PAPERLESS ORDER REFERRING7 Plaintiff's Verified Motion for Temporary Restraining Order and Preliminary Injunctive Relief to Magistrate Judge Jonathan Goodman. Signed by Judge Darrin P. Gayles (hs01) |
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| Wednesday, April 17, 2024 | ||
| 7 | 7
motion
Temporary Restraining Order
Wed 04/17 5:16 PM
Plaintiff's MOTION for Temporary Restraining Order and Preliminary Injunctive Relief by Ladenburg Thalmann & Co. Inc.. Responses due by 5/1/2024. |
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Att: 1
Exhibit A (FINRA Statement of Claim),
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Att: 2
Exhibit B (Investment Banking Agreement),
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Att: 3
Exhibit C (Proposed TRO)
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| 6 | 6
motion
Appear Pro Hac Vice - aty
Wed 04/17 2:11 PM
Plaintiff's MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Mark J. Astarita. Filing Fee $ 200.00 Receipt # AFLSDC-17455635 by Ladenburg Thalmann & Co. Inc.. Responses due by 5/1/2024.(Sallah, James) |
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Att: 1
Exhibit A (Certification),
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Att: 2
Exhibit B (Proposed Order)
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| 5 | 5
order
Notice of Court Practice/to Appear/Other
Wed 04/17 1:07 PM
NOTICE OF COURT PRACTICE. Unless otherwise specified by the Court, every motion shall be double-spaced in Times New Roman 12-point typeface. Multiple Plaintiffs or Defendants shall file joint motions with co-parties unless there are clear conflicts of position. If conflicts of position exist, parties shall explain the conflicts in their separate motions. Failure to comply with ANY of these procedures may result in the imposition of appropriate sanctions, including but not limited to, the striking of the motion or dismissal of this action. Signed by Judge Darrin P. Gayles (hs01) |
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| 4 | 4
notice
Notice of Attorney Appearance
Wed 04/17 12:55 PM
NOTICE of Attorney Appearance by Patrick Joseph Rengstl on behalf of Ladenburg Thalmann & Co. Inc. |
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| 3 | 3
1
pgs
service
Summons Issued
Wed 04/17 12:37 PM
Summons Issued as to Oragenics, Inc. (nwn) |
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| 2 | 2
order
Clerk's Notice of Judge Assignment and Optional Consent
Wed 04/17 12:36 PM
Clerks Notice of Judge Assignment to Judge Darrin P. Gayles. Pursuant to 28 USC 636(c), the parties are hereby notified that the U.S. Magistrate Judge Jonathan Goodman is available to handle any or all proceedings in this case. If agreed, parties should complete and file the Consent form found on our website. It is not necessary to file a document indicating lack of consent. (nwn) |
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| 1 | 1
cmp
Complaint
Wed 04/17 10:50 AM
COMPLAINT against Oragenics, Inc.. Filing fees $ 405.00 receipt number AFLSDC-17454643, filed by Ladenburg Thalmann & Co. Inc..(Sallah, James) |
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Att: 1
11 pgs
Exhibit A,
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Att: 2
Exhibit B,
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Att: 3
2 pgs
Civil Cover Sheet,
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Att: 4
2 pgs
Summon(s)
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