ADVISORS ASSET MANAGEMENT, INC. et al v. KNIPE

3:23-cv-03795 | New Jersey District Court

Interested in this case?

Request a Demo Track this case, and find millions of cases like it, let us show you how.
Division Trenton
Judge Judge Michael A. Shipp
Filed July 14, 2023
Terminated April 1, 2024
Case Flags CLOSED
Magistrate Magistrate Judge Tonianne J. Bongiovanni
Nature of Suit 190 Contract - Other
Cause 28:1332 Diversity-Breach of Contract
Jury Demand None
Last Updated: 9 months, 1 week ago Show Interactive Timeline
Filing Date # Docket Text
4/1/2024JOINT STIPULATION AND ORDER OF DISMISSAL with prejudice. Each party shall bear its own costs, expenses, and attorneys' fees. Signed by Judge Michael A. Shipp on 3/29/2024. (kht) (Entered: 04/01/2024)
3/28/2024
  • Motion to Dismiss (Demurrer)by Π
STIPULATION Joint Stipulation of Dismissal by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (MATTEO, JOSEPH) (Entered: 03/28/2024)
3/15/2024STIPULATION AND ORDER granting extension of Stay until 4/1/2024. Signed by Magistrate Judge Tonianne J. Bongiovanni on 3/15/2024. (mlh) (Entered: 03/15/2024)
3/15/2024STIPULATION and Proposed Order to Extend Stay by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (MATTEO, JOSEPH) (Entered: 03/15/2024)
3/1/2024STIPULATION AND ORDER granting request for extension of Stay until 3/15/2024. Signed by Magistrate Judge Tonianne J. Bongiovanni on 3/1/2024. (mlh) (Entered: 03/01/2024)
2/28/2024STIPULATION and Proposed Order to Extend Stay by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (MATTEO, JOSEPH) (Entered: 02/28/2024)
1/26/2024STIPULATION AND ORDER staying all case deadlines through and including 2/29/2024. Signed by Magistrate Judge Tonianne J. Bongiovanni on 1/25/2024. (jal, ) (Main Document 43 replaced on 1/31/2024) (jal, ). (Entered: 01/26/2024)
1/24/2024STIPULATION AND PROPOSED ORDER TO STAY by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (MATTEO, JOSEPH) (Entered: 01/24/2024)
1/19/202441
  • Order
TEXT ORDER: After reviewing the parties' status update submitted on 01/18/2024, it appears settlement discussions are ongoing. Accordingly, the Court directs the parties to submit an additional status update regarding settlement by 02/01/2024, close of business. The parties are directed to submit same to tjb_orders@njd.uscourts.gov. So Ordered by Magistrate Judge Tonianne J. Bongiovanni on 1/19/2024. (jem) (Entered: 01/19/2024)
1/5/202440
  • Order
TEXT ORDER: After reviewing the parties' status update submitted on 01/04/2024, it appears settlement discussions are ongoing. Accordingly, the Court directs the parties to submit an additional status update regarding settlement by 01/18/2024, close of business. The parties are directed to submit same to tjb_orders@njd.uscourts.gov. So Ordered by Magistrate Judge Tonianne J. Bongiovanni on 1/05/2024. (jem) (Entered: 01/05/2024)
12/18/202339
  • Order
TEXT ORDER: After reviewing the parties' status update submitted on 12/14/2023, it appears settlement discussions are ongoing. Accordingly, the Court directs the parties to submit an additional status update regarding settlement by 01/04/2024, close of business. The parties are directed to submit same to tjb_orders@njd.uscourts.gov. So Ordered by Magistrate Judge Tonianne J. Bongiovanni on 12/18/2023. (jem) (Entered: 12/18/2023)
12/1/202338
  • Order
TEXT ORDER: After reviewing the parties' status update submitted on 11/30/2023, it appears settlement discussions are ongoing. Accordingly, the Court directs the parties to submit an additional status update regarding settlement by 12/14/2023, close of business. The parties are directed to submit same to tjb_orders@njd.uscourts.gov. So Ordered by Magistrate Judge Tonianne J. Bongiovanni on 12/01/2023. (jem) (Entered: 12/01/2023)
11/28/2023Notice to be terminated and withdraw from Notices of Electronic filing as to case. Attorney GREGG SETTEMBRINO terminated. (SOSTOWSKI, KRISTIN) (Entered: 11/28/2023)
11/22/2023STIPULATION AND ORDER regarding protocol for the production of electronically stored information ("ESI"). Signed by Magistrate Judge Tonianne J. Bongiovanni on 11/22/2023. (mlh) (Entered: 11/22/2023)
11/17/2023STIPULATION Stipulated Protocol for the Production of Electronically Stored Information ("ESI") by BAHL & GAYNOR, INC., PETER G. KNIPE. (SOSTOWSKI, KRISTIN) (Entered: 11/17/2023)
11/16/202334
  • Order
TEXT ORDER: Based on the parties' status update submitted on 11/15/2023, the parties attended mediation on 11/03/2023 in the companion case filed in the Southern District of Ohio. The parties advise that settlement discussions are ongoing. Accordingly, the Court directs the parties to submit an additional joint status update regarding settlement no later than 11/30/2023, close of business. The parties are directed to submit same to tjb_orders@njd.uscourts.gov. So Ordered by Magistrate Judge Tonianne J. Bongiovanni on 11/16/2023. (jem) (Entered: 11/16/2023)
10/19/2023Pro Hac Vice counsel, CHARLOTTE UNDERWOOD, has been added to receive Notices of Electronic Filing. Pursuant to L.Civ.R. 101.1, only local counsel are entitled to sign and file papers, enter appearances and receive payments on judgments, decrees or orders. (mlh) (Entered: 10/19/2023)
10/19/2023CLERK'S QUALITY CONTROL MESSAGE - Please be advised that the Request for Electronic Notification of Pro Hac Vice Counsel submitted by MARQUIS WHITNEY on 10/18/2023 cannot be processed until the pro hac counsel application fee has been paid. Please review the Electronic Notification for Pro Hac Vice instructions on our website. Counsel is advised to resubmit the Request for Electronic Notification of Pro Hac Vice Counsel once payment has been recorded. This message is for informational purposes only. (mlh) (Entered: 10/19/2023)
10/18/2023Pro Hac Vice fee received for Charlotte H. Underwood: $ 150, receipt number 135175 (jjc, ) (Entered: 10/19/2023)
10/18/2023Notice of Request by Pro Hac Vice Charlotte Underwood to receive Notices of Electronic Filings. (WHITNEY, MARQUIS) (Entered: 10/18/2023)
10/18/2023Text Minute Entry for proceedings held before Magistrate Judge Tonianne J. Bongiovanni: Initial Pretrial Conference held on 10/18/2023. The parties shall participate in mediation being held on 11/3/2023 in a companion case filed in the Southern District of Ohio. A status update is to be submitted by 11/15/2023. In the meantime, discovery in this matter will continue. A formal schedule will be entered if the matter does not settle. (jem) (Entered: 10/18/2023)
10/18/2023
  • Motion to Appear Pro Hac ViceGranted
ORDER Granting Pro Hac Vice Admission as to, CHARLOTTE H. UNDERWOOD. Signed by Magistrate Judge Tonianne J. Bongiovanni on 10/17/2023. (jdg) (Entered: 10/18/2023)
10/16/202331
  • Order
TEXT ORDER: The Scheduling Conference set for 10/19/2023 at 2:30 PM is hereby RESCHEDULED to 10/18/2023 at 11:30 AM via telephone before Magistrate Judge Tonianne J. Bongiovanni. Please use the same dial-in information previously provided by the Court. So Ordered by Magistrate Judge Tonianne J. Bongiovanni on 10/16/2023. (jem) (Entered: 10/16/2023)
9/8/2023
  • Order
ORDER SCHEDULING CONFERENCE: Scheduling Conference set for 10/19/2023 at 2:30 PM in Trenton - Courtroom 6E before Magistrate Judge Tonianne J. Bongiovanni. Signed by Magistrate Judge Tonianne J. Bongiovanni on 9/08/2023. (jem) (Entered: 09/08/2023)
9/8/2023NOTICE of Appearance by MARQUIS WHITNEY, SR on behalf of AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC. (WHITNEY, MARQUIS) (Entered: 09/08/2023)
9/7/2023
  • Answerby Δ
ANSWER to Amended Complaint by PETER G. KNIPE.(SOSTOWSKI, KRISTIN) (Entered: 09/07/2023)
9/7/2023
  • Answerby Δ
ANSWER to Amended Complaint by BAHL & GAYNOR, INC..(SOSTOWSKI, KRISTIN) (Entered: 09/07/2023)
8/25/2023
  • Motion to Appear Pro Hac ViceGranted
ORDER granting PRO HAC VICE admissions as to BRIAN G. DERSHAW, ESQ., MEDORA M. AKERS, ESQ., AND IVY J. SANDER, ESQ. Signed by Magistrate Judge Tonianne J. Bongiovanni on 8/25/2023. (mlh) (Entered: 08/25/2023)
8/24/2023REDACTION to 9 Amended Complaint, and Exhibit 2 to the Amended Complaint by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (Attachments: # 1 Exhibit 2-Knipe Retention redacted)(MATTEO, JOSEPH) (Entered: 08/24/2023)
8/24/2023REDACTION to 1 Complaint, and Exhibit 2 to the Complaint by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (Attachments: # 1 Exhibit 2-Knipe Retention redacted)(MATTEO, JOSEPH) (Entered: 08/24/2023)
8/13/2023
  • Order
Clerk`s Text Order - The document 19 Application for Clerk's Order to Ext Answer/Proposed Order submitted by BAHL & GAYNOR, INC. has been GRANTED. The answer due date has been set for 9/7/2023. (jjc, ) (Entered: 08/13/2023)
8/13/2023
  • Order
Clerk`s Text Order - The document 18 Application for Clerk's Order to Ext Answer/Proposed Order submitted by PETER G. KNIPE has been GRANTED. The answer due date has been set for 9/8/2023. (jjc, ) (Entered: 08/13/2023)
8/11/2023NOTICE of Appearance by NICHOLAS E. RYBARCZYK on behalf of AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC. (RYBARCZYK, NICHOLAS) (Entered: 08/11/2023)
8/11/2023NOTICE of Appearance by GREGG SETTEMBRINO on behalf of BAHL & GAYNOR, INC., PETER G. KNIPE (SETTEMBRINO, GREGG) (Entered: 08/11/2023)
8/11/2023
  • Motion to SealGranted
ORDER granting 17 Motion to Seal Document. Plaintiff's shall file redacted versions of the Amended Complaint and Exhibit 2 of the Amended Complaint no later than 8/25/2023. Signed by Magistrate Judge Tonianne J. Bongiovanni on 8/11/2023. (kht) (Entered: 08/11/2023)
8/11/2023
  • Motion to SealGranted
ORDER granting 12 Motion to Seal Document. Plaintiff's shall file redacted versions of the Complaint and Exhibit 2 of the Complaint no later than 8/25/2023. Signed by Magistrate Judge Tonianne J. Bongiovanni on 8/11/2023. (kht) (Entered: 08/11/2023)
8/11/2023
  • Motion to Extend Timeby Δ
Application and Proposed Order for Clerk's Order to extend time to answer as to Defendant Bahl & Gaynor, Inc.. Attorney KRISTIN DUNCAN SOSTOWSKI for BAHL & GAYNOR, INC. added. (SOSTOWSKI, KRISTIN) (Entered: 08/11/2023)
8/11/2023
  • Motion to Extend Timeby Δ
Application and Proposed Order for Clerk's Order to extend time to answer as to Defendant Peter G. Knipe. Attorney KRISTIN DUNCAN SOSTOWSKI for PETER G. KNIPE added. (SOSTOWSKI, KRISTIN) (Entered: 08/11/2023)
8/10/2023Set Deadlines as to 17 MOTION to Seal Document 10 Exhibit (to Document),, Amended Complaint and related exhibit. Motion set for 9/5/2023 before Magistrate Judge Tonianne J. Bongiovanni. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (mlh) (Entered: 08/10/2023)
8/9/2023
  • Motion to Sealby Π
MOTION to Seal Document 10 Exhibit (to Document),, Amended Complaint and related exhibit by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (Attachments: # 1 Certification In Support of Plaintiff's Motion to File Documents Under Seal, # 2 Statement that No Brief Is Necessary, # 3 Text of Proposed Order Text Proposed Order, # 4 Certificate of Service Certificate of Service)(MATTEO, JOSEPH) (Entered: 08/09/2023)
8/7/2023SUMMONS Returned Executed by ADVISORS ASSET MANAGEMENT, INC., AAM HOLDINGS, INC.. BAHL & GAYNOR, INC. served on 8/3/2023, answer due 8/24/2023. (MATTEO, JOSEPH) (Entered: 08/07/2023)
8/7/2023SUMMONS Returned Executed by ADVISORS ASSET MANAGEMENT, INC., AAM HOLDINGS, INC.. PETER G. KNIPE served on 8/4/2023, answer due 8/25/2023. (MATTEO, JOSEPH) (Entered: 08/07/2023)
8/2/2023SUMMONS ISSUED as to BAHL & GAYNOR, INC. and PETER G. KNIPE. Attached is the official court Summons, please fill out Defendant and Plaintiffs attorney information and serve. (mlh) (Entered: 08/02/2023)
8/1/2023Request for Summons to be Issued by ADVISORS ASSET MANAGEMENT, INC., AAM HOLDINGS, INC. as to BAHL & GAYNOR, INC., PETER G. KNIPE. (MATTEO, JOSEPH) (Entered: 08/01/2023)
7/31/2023Set Deadlines as to 12 MOTION to Seal Document 6 Exhibit (to Document),, 1 Complaint, 7 Exhibit (to Document),, . Motion set for 8/21/2023 before Magistrate Judge Tonianne J. Bongiovanni. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (mlh) (Entered: 07/31/2023)
7/28/2023
  • Motion to Sealby Π
MOTION to Seal Document 6 Exhibit (to Document),, 1 Complaint, 7 Exhibit (to Document),, by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (Attachments: # 1 Certification In Support of Plaintiff's Motion to File Documents Under Seal, # 2 Statement that No Brief Is Necessary, # 3 Text of Proposed Order, # 4 Certificate of Service)(MATTEO, JOSEPH) (Entered: 07/28/2023)
7/27/2023Diversity Disclosure Statement by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (MATTEO, JOSEPH) (Entered: 07/27/2023)
7/27/2023Exhibit to 9 Amended Complaint, Unredacted by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (Attachments: # 1 Exhibit 2-Knipe Retention unredacted)(MATTEO, JOSEPH)
NOTICE TO COUNSEL: Counsel is advised that pursuant to Local Civil Rule 5.3(c)(2), a single, consolidated motion to seal shall be filed within 14 days following the completed briefing of the materials sought to be sealed, or within 14 days following the date on which the last of such materials was filed under temporary seal if the motion is resolved, unless otherwise directed by the Court. (Entered: 07/27/2023)
7/27/2023
  • Complaintby Π
AMENDED COMPLAINT against PETER G. KNIPE, BAHL & GAYNOR, INC., filed by ADVISORS ASSET MANAGEMENT, INC., AAM HOLDINGS, INC.. (Attachments: # 1 Exhibit 1 - Confidentiality Agreement, # 2 Exhibit 2 - Knipe Retention Docs - redacted)(MATTEO, JOSEPH) (Entered: 07/27/2023)
7/25/2023CLERK'S QUALITY CONTROL MESSAGE - Per Counsel's request, please disregard the docket text at ECF No. 8 as Defendant PETER G. KNIPE was served on 7/17/2023. This message is for informational purposes only.(mlh) (Entered: 07/25/2023)
7/21/2023SUMMONS Returned Executed by ADVISORS ASSET MANAGEMENT, INC., AAM HOLDINGS, INC.. PETER G. KNIPE served on 7/14/2023, answer due 8/4/2023. (MATTEO, JOSEPH) (Entered: 07/21/2023)
7/17/2023Exhibit to 5 Letter Regarding unredacted Exhibit 2 to Complaint by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (MATTEO, JOSEPH)
NOTICE TO COUNSEL: Counsel is advised that pursuant to Local Civil Rule 5.3(c)(2), a single, consolidated motion to seal shall be filed within 14 days following the completed briefing of the materials sought to be sealed, or within 14 days following the date on which the last of such materials was filed under temporary seal if the motion is resolved, unless otherwise directed by the Court. (Entered: 07/17/2023)
7/17/2023Exhibit to 5 Letter regarding Unredacted Complaint by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (MATTEO, JOSEPH)
NOTICE TO COUNSEL: Counsel is advised that pursuant to Local Civil Rule 5.3(c)(2), a single, consolidated motion to seal shall be filed within 14 days following the completed briefing of the materials sought to be sealed, or within 14 days following the date on which the last of such materials was filed under temporary seal if the motion is resolved, unless otherwise directed by the Court. (Entered: 07/17/2023)
7/17/2023Letter from Joseph A. Matteo re 1 Complaint,. (MATTEO, JOSEPH) (Entered: 07/17/2023)
7/17/2023SUMMONS ISSUED as to PETER G. KNIPE. Attached is the official court Summons, please fill out Defendant and Plaintiffs attorney information and serve. (mg, ) (Entered: 07/17/2023)
7/17/2023CLERK'S QUALITY CONTROL MESSAGE - Please be advised, pursuant to Fed. R. Civ. P. 7.1(a)(2), unless the Court orders otherwise, in any action filed or removed to this Court, in which jurisdiction is based upon diversity under 28 U.S.C. 1332(a), a party or intervenor must file a disclosure statement naming and identifying the citizenship of every individual or entity whose citizenship is attributed to that party or intervenor. A party, intervenor or proposed intervenor must file the disclosure statement with its first appearance, pleading, petition, motion, response, or other request addressed to the Court. Click here to complete the Diversity Disclosure Statement, once complete, file it using the event Diversity Disclosure Statement. (mg, ) (Entered: 07/17/2023)
7/17/2023 Judge Michael A. Shipp and Magistrate Judge Tonianne J. Bongiovanni added. (mg) (Entered: 07/17/2023)
7/17/2023Exhibit to 1 Complaint, QC - Civil Cover Sheet JS44,, by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC.. (MATTEO, JOSEPH) (Entered: 07/17/2023)
7/17/2023CLERK'S QUALITY CONTROL MESSAGE - The case you electronically filed did not include a Civil Cover Sheet (JS-44), which is required to be submitted along with the initial pleading, as indicated in the Attorney Case Opening Guide. Please complete and file a Civil Cover Sheet using the event Exhibit (to Document) found under Civil/Other Filings/Other Documents. Please refer to the Attorney Case Opening Guide for processing electronically filed cases. (jjc, ) (Entered: 07/17/2023)
7/14/2023Corporate Disclosure Statement by AAM HOLDINGS, INC., ADVISORS ASSET MANAGEMENT, INC. identifying Sun Life (U.S) Holdco 2020, Inc. as Corporate Parent.. (MATTEO, JOSEPH) (Entered: 07/14/2023)
7/14/2023
  • Complaintby Π
COMPLAINT against PETER G. KNIPE ( Filing and Admin fee $ 402 receipt number ANJDC-14457678), filed by ADVISORS ASSET MANAGEMENT, INC., AAM HOLDINGS, INC.. (Attachments: # 1 Exhibit 1 - Confidentiality Agreement, # 2 Exhibit 2 - Knipe Retention Docs - redacted)(MATTEO, JOSEPH) (Entered: 07/14/2023)