Forward Industries, Inc. v. Wise et al
| New York Southern District Court | |
| Judge: | Jed S Rakoff |
| Case #: | 1:14-cv-05365 |
| Nature of Suit | 850 Other Statutes - Securities/Commodities/Exchange |
| Cause | 15:78m(a) Securities Exchange Act |
| Case Filed: | Jul 16, 2014 |
| Terminated: | Sep 24, 2014 |
| Last checked: Monday Jan 19, 2015 2:51 AM EST |
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Defendant
Terence Bernard Wise
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Represented By
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Defendant
Jenny P. Yu
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Represented By
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Plaintiff
Forward Industries, Inc.
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Represented By
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| Docket last updated: 04/26/2024 11:59 PM EDT |
| Wednesday, February 18, 2015 | ||
| 48 | 48
appeal
USCA Mandate
Thu 02/19 11:54 AM
MANDATE of USCA (Certified Copy) as to47 Notice of Appeal filed by Forward Industries, Inc. USCA Case Number 14-0639 The parties in the above-referenced case have filed a stipulation withdrawing this appeal pursuant to FRAP 42. The stipulation is hereby "So Ordered". Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 02/18/2015. (nd) |
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| Thursday, September 25, 2014 | ||
| 47 | 47
appeal
Notice of Appeal
Thu 09/25 4:04 PM
NOTICE OF APPEAL from46 Clerk's Judgment,. Document filed by Forward Industries, Inc.. Filing fee $ 505.00, receipt number 0208-10142269. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Udell, Jeffrey) |
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appeal
Transmission of Notice of Appeal and Docket Sheet to USCA
Thu 09/25 4:38 PM
Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re:47 Notice of Appeal. (nd) |
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appeal
Appeal Record Sent to USCA - Electronic File
Thu 09/25 4:38 PM
Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for47 Notice of Appeal filed by Forward Industries, Inc. were transmitted to the U.S. Court of Appeals. (nd) |
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| Wednesday, September 24, 2014 | ||
| 46 | 46
order
Judgment - Clerk
Wed 09/24 5:11 PM
CLERK'S JUDGMENT: It is, ORDERED, ADJUDGED AND DECREED: That for the reasons stated in the Court's Memorandum Order dated September 20, 2014, Defendants' motion to dismiss for failure to state a claim is granted with prejudice; accordingly, the case is closed. (Signed by Clerk of Court Ruby Krajick on 09/24/2014)(km) |
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Att: 1
Right to Appeal,
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Att: 2
Right to Appeal
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| 45 | 45
misc
Notice of Filing Transcript
Wed 09/24 11:45 AM
NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a ARGUMENT proceeding held on 9/15/2014 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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| 44 | 44
misc
Transcript
Wed 09/24 11:44 AM
TRANSCRIPT of Proceedings re: ARGUMENT held on 9/15/2014 before Judge Jed S. Rakoff. Court Reporter/Transcriber: Samuel Mauro, (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 10/20/2014. Redacted Transcript Deadline set for 10/30/2014. Release of Transcript Restriction set for 12/29/2014.(McGuirk, Kelly) |
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utility
Terminate Transcript Deadlines
Wed 09/24 5:22 PM
Terminate Transcript Deadlines (km) |
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| Tuesday, September 23, 2014 | ||
| 43 | 43
order
Order on Motion to Dismiss
Tue 09/23 5:57 PM
MEMORANDUM ORDER granting35 Motion to Dismiss. Accordingly, defendants' motions to dismiss for failure to state a claim are hereby granted with prejudice. The Clerk of the Court is directed to enter judgment dismissing the case. SO ORDERED. (Signed by Judge Jed S. Rakoff on 9/20/2014) (ama) |
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misc
Transmission to Judgments and Orders Clerk
Tue 09/23 5:57 PM
Transmission to Judgments and Orders Clerk. Transmitted re:43 Order on Motion to Dismiss,, to the Judgments and Orders Clerk. (ama) |
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| Monday, September 15, 2014 | ||
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Oral Argument held on 9/15/2014 re:35 MOTION to Dismiss The Complaint . filed by Terence Bernard Wise. (Kotowski, Linda) | ||
| Wednesday, September 10, 2014 | ||
| 42 | 42
respm
Reply Memorandum of Law in Support of Motion
Wed 09/10 10:11 PM
REPLY MEMORANDUM OF LAW in Support re:35 MOTION to Dismiss The Complaint . . Document filed by Terence Bernard Wise. (Sacca, Joseph) |
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| 41 | 41
respm
Memorandum of Law in Support of Motion
Wed 09/10 4:48 PM
MEMORANDUM OF LAW in Support re:32 MOTION to Dismiss Counts I and IV against Jenny P. Yu . . Document filed by Jenny P. Yu. (Blue, Gregory) |
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| Friday, September 05, 2014 | ||
| 40 | 40
respm
Memorandum of Law in Opposition to Motion
Fri 09/05 7:13 PM
MEMORANDUM OF LAW in Opposition re:35 MOTION to Dismiss The Complaint .,32 MOTION to Dismiss Counts I and IV against Jenny P. Yu . . Document filed by Forward Industries, Inc.. (Holloman, Ellen) |
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| Thursday, September 04, 2014 | ||
| 39 | 39
misc
Notice of Filing Transcript
Thu 09/04 11:13 AM
NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a motion proceeding held on 8/18/14 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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| 38 | 38
misc
Transcript
Thu 09/04 11:09 AM
TRANSCRIPT of Proceedings re: motion held on 8/18/2014 before Judge Jed S. Rakoff. Court Reporter/Transcriber: Thomas Murray, (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 9/29/2014. Redacted Transcript Deadline set for 10/9/2014. Release of Transcript Restriction set for 12/8/2014.(McGuirk, Kelly) |
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| Thursday, August 28, 2014 | ||
| 37 | 37
respm
Declaration in Support of Motion
Thu 08/28 8:34 PM
DECLARATION of Joseph N. Sacca in Support re:35 MOTION to Dismiss The Complaint .. Document filed by Terence Bernard Wise.(Sacca, Joseph) |
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Att: 1
Exhibit 1
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| 36 | 36
respm
Memorandum of Law in Support of Motion
Thu 08/28 8:32 PM
MEMORANDUM OF LAW in Support re:35 MOTION to Dismiss The Complaint . . Document filed by Terence Bernard Wise. (Sacca, Joseph) |
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| 35 | 35
motion
Dismiss
Thu 08/28 8:31 PM
MOTION to Dismiss The Complaint . Document filed by Terence Bernard Wise. Return Date set for 9/15/2014 at 04:00 PM.(Sacca, Joseph) |
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| 34 | 34
respm
Memorandum of Law in Support of Motion
Thu 08/28 4:38 PM
MEMORANDUM OF LAW in Support re:32 MOTION to Dismiss Counts I and IV against Jenny P. Yu . . Document filed by Jenny P. Yu. (Kessler, John) |
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| 33 | 33
respm
Declaration in Support of Motion
Thu 08/28 4:37 PM
DECLARATION of Gregory A. Blue in Support re:32 MOTION to Dismiss Counts I and IV against Jenny P. Yu .. Document filed by Jenny P. Yu.(Kessler, John) |
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Att: 1
Exhibit 1,
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Att: 2
Exhibit 2
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| 32 | 32
motion
Dismiss
Thu 08/28 4:34 PM
MOTION to Dismiss Counts I and IV against Jenny P. Yu . Document filed by Jenny P. Yu. Responses due by 9/5/2014 Return Date set for 9/15/2014 at 09:30 AM.(Kessler, John) |
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| Wednesday, August 20, 2014 | ||
| 31 | 31
ORDER denying11 Motion for Preliminary Injunction: the Court denies plaintiff's motions for a preliminary injunction and for expedited discovery. The Court grants defendant Yu's motion with respect to striking paragraphs 27, 36, and 37 and the last sentence of paragraph 4, but denies it with respect to paragraphs 22 and 26. A memorandum explaining the reasons for these rulings will issue in due course. Pursuant to the Court's directions given in open court on August 18, 2014, see transcript, defendants shall file any motions to dismiss on August 28, 2014; plaintiff shall file its answering papers on September 5, 2014; defendants shall file their reply by September 10, 2014; and oral argument on defendants' motions shall be held on September 15, 2014 at 4:00 pm, at which time the parties shall submit a proposed case management plan pursuant to which this case shall be ready for trial by December 31, 2014. The Clerk of the Court is directed to close document number 11 on the docket of this case. (Signed by Judge Jed S. Rakoff on 8/19/2014) (tn)
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| Set/Reset Deadlines: Motions due by 8/28/2014. Responses due by 9/5/2014. Replies due by 9/10/2014. Ready for Trial by 12/31/2014. (tn) | ||
| Set/Reset Hearings: Oral Argument set for 9/15/2014 at 04:00 PM before Judge Jed S. Rakoff. (tn) | ||
| Monday, August 18, 2014 | ||
| 30 | 30
STIPULATION: IT IS HEREBY STIPULATED AND AGREED by and between the undersigned counsel that the Defendants shall answer, move, or otherwise respond to the Complaint on or before August 28, 2014. (Signed by Judge Jed S. Rakoff on 8/16/2014) (kgo)
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| Set/Reset Deadlines: Terence Bernard Wise answer due 8/28/2014; Jenny P. Yu answer due 8/28/2014. (kgo) | ||
| Friday, August 15, 2014 | ||
| 29 | 29
NOTICE OF APPEARANCE by Miriam Deborah Tauber on behalf of Terence Bernard Wise. (Tauber, Miriam)
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| Wednesday, August 13, 2014 | ||
| 28 | 28
REPLY MEMORANDUM OF LAW in Support re:11 MOTION for Preliminary Injunction , dated July 30, 2014 . . Document filed by Forward Industries, Inc.. (Holloman, Ellen)
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| 27 | 27
REPLY MEMORANDUM OF LAW in Support re:11 MOTION for Preliminary Injunction , dated July 30, 2014 . . Document filed by Forward Industries, Inc.. (Holloman, Ellen)
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| 26 | 26
DECLARATION of Owen P.J. King in Support re:11 MOTION for Preliminary Injunction , dated July 30, 2014 .. Document filed by Forward Industries, Inc.. (Udell, Jeffrey)
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| 25 | 25
DECLARATION of Jeffrey A. Udell in Support re:11 MOTION for Preliminary Injunction , dated July 30, 2014 .. Document filed by Forward Industries, Inc..(Udell, Jeffrey)
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Att: 1
Exhibit 1
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| Monday, August 11, 2014 | ||
| 24 | 24
NOTICE OF APPEARANCE by Joseph N. Sacca on behalf of Terence Bernard Wise. (Sacca, Joseph)
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| Saturday, August 09, 2014 | ||
| 23 | 23
DECLARATION of Joseph N. Sacca in Opposition re:11 MOTION for Preliminary Injunction , dated July 30, 2014 .. Document filed by Terence Bernard Wise.(Sacca, Joseph)
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Att: 1
Exhibit 1,
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Att: 2
Exhibit 2,
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Att: 3
Exhibit 3
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| Friday, August 08, 2014 | ||
| 22 | 22
DECLARATION of TERRENCE BERNARD WISE in Opposition re:11 MOTION for Preliminary Injunction , dated July 30, 2014 .. Document filed by Terence Bernard Wise.(Sacca, Joseph)
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Att: 1
Exhibit 1,
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Att: 2
Exhibit 2,
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Att: 3
Exhibit 3,
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Att: 4
Exhibit 4,
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Att: 5
Exhibit 5,
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Att: 6
Exhibit 6
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| 21 | 21
MEMORANDUM OF LAW in Opposition re:11 MOTION for Preliminary Injunction , dated July 30, 2014 . . Document filed by Terence Bernard Wise. (Sacca, Joseph)
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| 20 | 20
MEMORANDUM OF LAW in Opposition re:11 MOTION for Preliminary Injunction , dated July 30, 2014 . . Document filed by Jenny P. Yu. (Blue, Gregory)
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| 19 | 19
DECLARATION in Opposition re:11 MOTION for Preliminary Injunction , dated July 30, 2014 .. Document filed by Jenny P. Yu.(Blue, Gregory)
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Att: 1
Exhibit Exhibit 1,
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Att: 2
Exhibit Exhibit 2,
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Att: 3
Exhibit Exhibit 3
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| 18 | 18
DECLARATION of Jenny P. Yu in Opposition re:11 MOTION for Preliminary Injunction , dated July 30, 2014 .. Document filed by Jenny P. Yu. (Blue, Gregory)
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| Wednesday, August 06, 2014 | ||
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a ARGUMENT proceeding held on 7/28/2014 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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| 16 | 16
TRANSCRIPT of Proceedings re: ARGUMENT held on 7/28/2014 before Judge Jed S. Rakoff. Court Reporter/Transcriber: Paula Speer, (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 9/2/2014. Redacted Transcript Deadline set for 9/11/2014. Release of Transcript Restriction set for 11/7/2014.(McGuirk, Kelly)
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| ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Gregory A. Blue. Document No. 15 Letter. This document is not filed via ECF. The Court permits the filing of letters including certain types of letter motions, a Motion to Strike must be formally filed. (db) | ||
| Tuesday, August 05, 2014 | ||
| 15 | 15
FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - MOTION to Strike Document No.1 paragraphs 22, 26, 27, 36, and last sentence of paragraph 4 . Document filed by Jenny P. Yu. Responses due by 8/13/2014 Return Date set for 8/18/2014 at 04:00 PM.(Blue, Gregory) Modified on 8/6/2014 (db).
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| Friday, August 01, 2014 | ||
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 8/1/2014. (Kotowski, Linda) | ||
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 8/1/2014. (Kotowski, Linda) | ||
| Wednesday, July 30, 2014 | ||
| 14 | 14
MEMORANDUM OF LAW in Support re:11 MOTION for Preliminary Injunction , dated July 30, 2014 . . Document filed by Forward Industries, Inc.. (Udell, Jeffrey)
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| 13 | 13
DECLARATION of Owen P.J. King in Support re:11 MOTION for Preliminary Injunction , dated July 30, 2014 .. Document filed by Forward Industries, Inc.. (Udell, Jeffrey)
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| 12 | 12
DECLARATION of Jeffrey A. Udell in Support re:11 MOTION for Preliminary Injunction , dated July 30, 2014 .. Document filed by Forward Industries, Inc..(Udell, Jeffrey)
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Att: 1
Exhibit 1,
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Att: 2
Exhibit 2,
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Att: 3
Exhibit 3,
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Att: 4
Exhibit 4,
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Att: 5
Exhibit 5,
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Att: 6
Exhibit 6,
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Att: 7
Exhibit 7,
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Att: 8
Exhibit 8,
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Att: 9
Exhibit 9,
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Att: 10
Exhibit 10,
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Att: 11
Exhibit 11,
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Att: 12
Exhibit 12,
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Att: 13
Exhibit 13,
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Att: 14
Exhibit 14,
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Att: 15
Exhibit 15,
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Att: 16
Exhibit 16,
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Att: 17
Exhibit 17
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| 11 | 11
MOTION for Preliminary Injunction , dated July 30, 2014 . Document filed by Forward Industries, Inc.. Return Date set for 8/18/2014 at 04:00 PM.(Udell, Jeffrey)
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| Tuesday, July 29, 2014 | ||
| 10 | 10
NOTICE OF APPEARANCE by Gregory A. Blue on behalf of Jenny P. Yu. (Blue, Gregory)
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| Monday, July 28, 2014 | ||
| Minute Entry for proceedings held before Judge Jed S. Rakoff: Scheduling Conference held on 7/28/2014. Argument to be heard on plaintiff's proposed temporary restraining order on August 18, 2014 at 4:00pm. (Kotowski, Linda) | ||
| Friday, July 25, 2014 | ||
| 9 | 9
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Forward Industries, Inc..(Udell, Jeffrey)
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| 8 | 8
NOTICE OF COURT CONFERENCE: Initial Conference set for 8/18/2014 at 04:00 PM in Courtroom 14B of the United States Courthouse, 500 Pearl Street, New York, NY 10007 before Judge Jed S. Rakoff. (Signed by Judge Jed S. Rakoff on 7/25/2014) (kgo)
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| 7 | 7
AFFIDAVIT OF SERVICE of Summons and Complaint. Jenny P. Yu served on 7/23/2014, answer due 8/13/2014. Service was made by Mail. Document filed by Forward Industries, Inc.. (Udell, Jeffrey)
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AFFIDAVIT OF SERVICE of Summons and Complaint. Jenny P. Yu served on 7/22/2014, answer due 8/12/2014. Service was accepted by Jose "Doe", Security Guard. Document filed by Forward Industries, Inc.. (Udell, Jeffrey)
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| Thursday, July 24, 2014 | ||
| 5 | 5
ORDER: Judge Rakoff has determined that this case is not appropriate for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Cases in the Southern District of New York, and, accordingly, the parties should instead proceed in accordance with Judge Rakoff's individual rules and orders. (Signed by Judge Jed S. Rakoff on 7/24/2014) (kgo)
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| Monday, July 21, 2014 | ||
| 4 | 4
NOTICE OF CHANGE OF ADDRESS by Ellen Victoria Holloman on behalf of Forward Industries, Inc.. New Address: Olshan Frome Wolosky LLP, 65 East 55th Street, New York, NY, USA 10022, 212 451 2300. (Holloman, Ellen)
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| Wednesday, July 16, 2014 | ||
| 3 | 3
STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M-10-468 Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (moh)
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| 2 | 2
CIVIL COVER SHEET filed. (moh)
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| 1 | 1
COMPLAINT against Terence Bernard Wise, Jenny P. Yu. (Filing Fee $ 350.00, Receipt Number 465401100343)Document filed by Forward Industries, Inc..(moh)
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Att: 1
Exhibit A
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| SUMMONS ISSUED as to Terence Bernard Wise, Jenny P. Yu. (moh) | ||
| Magistrate Judge Henry B. Pitman is so designated. (moh) | ||
| Case Designated ECF. (moh) | ||