Stein v. Raymond James Financial, Inc.

Federal Civil Lawsuit New York Eastern District Court, Case No. 1:16-cv-00379
District Judge Dora Lizette Irizarry, presiding
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District Judge Dora Lizette Irizarry
Last Updated July 29, 2025 at 8:40 AM EDT (9.6 months ago) Update UpdateSpaceE-Mail Alert AlertsSpaceJump Jump
Summary

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Parties
No Logo Anonymized Party [507ECE1], Plaintiff

Represented by Barrack, Rodos & Bacine

Name Phone Fax E-Mail
Space A. Arnold Gershon +1 212 688 0782 +1 212 688 0783 agershon@barrack.com
Space MICHAEL A. TOOMEY +1 212 688 0782 +1 212 688 0783 mtoomey@barrack.com
v.
No Logo Raymond James Financial, Inc., Defendant

Represented by Morrison & Foerster, LLP

Name Phone Fax E-Mail
Space James J. Beha, II +1 212 468 8000 +1 212 468 7900
Space Darryl P. Rains +1 650 813 5600 +1 650 494 0792 drains@mofo.com
Attributes
Nature of Suit 850 - Other Statutes: Securities/Commodities/Exchange
Cause Section 28 U.S.C. § 1331 Fed. Question
Jurisdiction Federal Question
Case Status closed
Jury Demand None
Anonymization By SCALES
Timeline
  Entries (19) Tab Overlap Calendar Events Tab Overlap Related (0) Tab Overlap Tools Right End
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Legal Document (Payment Possibly Required) 16 Filed: 7/6/2016, Entered: 7/6/2016 Court Filing
NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Proceedings held on 2/9/16, before Judge Irizarry. Court Reporter/Transcriber Angela Grant, Telephone number 718-613-2605. Email address: Angela.grant207@gmail.com. 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.File redaction request using event "Redaction Request - Transcript" located under "Other Filings - Other Documents". Redaction Request due 7/27/2016. Redacted Transcript Deadline set for 8/8/2016. Release of Transcript Restriction set for 10/4/2016. (Grant, Angela)
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Blank  Filed: 2/16/2016, Entered: 2/16/2016
ORDER re 15 Stipulation of Dismissal filed by 507ECE1 -- The Stipulation of Dismissal as entered into by and between the parties is SO ORDERED. The Clerk of the Court is directed to enter judgment and to close this case. SO ORDERED by Judge Dora Lizette Irizarry on 2/16/2016. (Irizarry, Dora)
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Legal Document (Payment Possibly Required) 15 Filed: 2/12/2016, Entered: 2/12/2016
STIPULATION of Dismissal to be So Ordered by 507ECE1 (Toomey, Michael)
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Legal Document (Payment Possibly Required) 14 Filed: 2/11/2016, Entered: 2/11/2016 Court Filing
Letter to Judge Irizarry from James J. Beha dated February 11, 2016 by Raymond James Financial, Inc. (Attachments: # 1 Exhibit : Amendment) (Beha, James)
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Blank  Filed: 2/9/2016, Entered: 2/9/2016
Minute Entry for proceedings held before Judge Dora Lizette Irizarry:Show Cause Hearing held on 2/9/2016. Appearances: Arnold Gershon and Michael Toomey for Plaintiff; Darryl P. Rains and James J. Beha II for Defendant. Arguments heard. Parties to discuss possible stipulation. If stipulation agreed upon, parties may fax to chambers (must call in advance). Conference continued to February 10, 2016 at 2:00 PM in Courtroom 4 A South before Judge Dora Lizette Irizarry. (Court Reporter Angela Grant.) (Carosella, Christy)
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Legal Document (Payment Possibly Required) 13 Filed: 2/5/2016, Entered: 2/5/2016
REPLY in Support re 5 Order to Show Cause,, filed by 507ECE1. (Toomey, Michael)
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Legal Document (Payment Possibly Required) 12 Filed: 2/2/2016, Entered: 2/2/2016 Court Filing
ORDER granting 10 Motion for Leave to Appear Pro Hac Vice -- Attorney Darryl Rains, Esq. is permitted to argue or try this case in whole or in part as counsel or advocate. By February 9, 2016, Mr. Rains shall register for ECF. Registration is available online at the EDNY's homepage. Once registered, Mr. Rains shall file a notice of appearance and ensure that he receives electronic notification of activity in this case. Mr. Rains shall also ensure that the $150 admission fee be submitted to the Clerk's Office. Ordered by Magistrate Judge James Orenstein on 2/2/2016. (Smerd, Jocelyn)
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Legal Document (Payment Possibly Required) 11 Filed: 2/1/2016, Entered: 2/1/2016
AFFIDAVIT/DECLARATION in Support re 10 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0207-8344768. filed by Raymond James Financial, Inc.. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Exhibit Certificate of Good Standing) (Rains, Darryl)
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Legal Document (Payment Possibly Required) 10 Filed: 2/1/2016, Entered: 2/1/2016
MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0207-8344768. by Raymond James Financial, Inc.. (Attachments: # 1 Proposed Order) (Rains, Darryl)
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Legal Document (Payment Possibly Required) 9 Filed: 2/1/2016, Entered: 2/1/2016
DECLARATION re 5 Order to Show Cause,, in Opposition to Plaintiff's Motion for a Preliminary Injunction by Raymond James Financial, Inc. (Attachments: # 1 Exhibit A) (Beha, James)
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Legal Document (Payment Possibly Required) 8 Filed: 2/1/2016, Entered: 2/1/2016
MEMORANDUM in Opposition re 5 Order to Show Cause,, filed by Raymond James Financial, Inc.. (Beha, James)
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Legal Document (Payment Possibly Required) 7 Filed: 1/27/2016, Entered: 1/27/2016
SUMMONS Returned Executed by 507ECE1. Raymond James Financial, Inc. served on 1/26/2016, answer due 2/16/2016. (Toomey, Michael)
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Legal Document (Payment Possibly Required) 6 Filed: 1/26/2016, Entered: 1/26/2016
NOTICE of Appearance by James J. Beha, II on behalf of Raymond James Financial, Inc. (aty to be noticed) (Beha, James)
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Legal Document (Payment Possibly Required) 5 Filed: 1/25/2016, Entered: 1/25/2016 Court Filing
ORDER TO SHOW CAUSE for Preliminary Injunction: Show Cause Hearing set for February 9, 2016 at 11:00 AM in Courtroom 4 A South. Defendant will serve and file its opposition by 5:00 PM, Monday, February 1, 2016 and plaintiff will serve and file her reply papers by 5:00 PM, Friday, February 5, 2016; and it is further ordered that counsel for defendant shall file a proper notice of appearance with the court immediately upon accepting this matter and otherwise comply with the court's ECF requirements. This order to be served on or before 12:00 noon on January 26, 2016. See document for full details. So Ordered by Judge Dora Lizette Irizarry on 1/25/2016. (Carosella, Christy)
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Legal Document (Payment Possibly Required) 4 Filed: 1/25/2016, Entered: 1/25/2016
In accordance with Rule 73 of the Federal Rules of Civil Procedure and Local Rule 73.1, the parties are notified that if all parties consent a United States magistrate judge of this court is available to conduct all proceedings in this civil action including a (jury or nonjury) trial and to order the entry of a final judgment. Attached to the Notice is a blank copy of the consent form that should be filled out, signed and filed electronically only if all parties wish to consent. The form may also be accessed at the following link:http://www.uscourts.gov/uscourts/FormsAndFees/Forms/AO085.pdf. You may withhold your consent without adverse substantive consequences. Do NOT return or file the consent unless all parties have signed the consent. (Bowens, Priscilla)
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Legal Document (Payment Possibly Required) 3 Filed: 1/25/2016, Entered: 1/25/2016
Unsigned Order to Show Cause by 507ECE1 (Bowens, Priscilla)
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Legal Document (Payment Possibly Required) 2 Filed: 1/25/2016, Entered: 1/25/2016
Summons Issued as to Raymond James Financial, Inc.. (Bowens, Priscilla)
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Blank  Filed: 1/25/2016, Entered: 1/25/2016
FILING FEE: $ 400, receipt number 4653097444 (Bowens, Priscilla)
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Legal Document (Payment Possibly Required) 1 Filed: 1/25/2016, Entered: 1/25/2016
COMPLAINT against Raymond James Financial, Inc. Was the Disclosure Statement on Civil Cover Sheet completed -no,, filed by 507ECE1. (Attachments: # 1 Civil Cover Sheet) (Bowens, Priscilla) (Additional attachment(s) added on 1/25/2016: # 2 Declaration, # 3 Memorandum in Support) (Bowens, Priscilla).
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