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`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
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`Attorney Docket No.: PGR-2012-111
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`Case No: CBM2013-00005
`Patent Owner: Market-Alerts Pty Ltd
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`Inventor: Jeffery Bruce McGeorge
`United States Patent No.: 7,941,357
`Formerly Application No.: 10/451022
`Issue Date: January 25, 2011
`PCT Filing Date: October 26, 2001
`Former Examiner: Ella Colbert
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`For: Trading System
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`MAIL STOP PATENT BOARD
`Patent Trial and Appeal Board
`United States Patent and Trademark Office
`Post Office Box 1450
`Alexandria, Virginia 22313-1450
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`MANDATORY NOTICES PURSUANT TO 37 C.F.R. § 42.8
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`Pursuant to 37 C.F.R. § 42.8, on behalf of and acting in a representative capacity for
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`patent owner, Market-Alerts Pty Ltd (“Patent Owner”), the undersigned hereby submits the
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`following mandatory notices in response to the Petition for Covered Business Method Patent
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`Review of United States Patent No. 7,941,357 (“Petition”) filed on October 15, 2012 and
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`assigned Case No. CBM2013- 00005.
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`REAL PARTY-IN-INTEREST
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`In accordance with 37 C.F.R. § 42.8(b)(1), Patent Owner identifies the real parties-in-
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`interest as follows:
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`Patent Owner and Respondent
`MARKET-ALERTS PTY LTD.
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`Petitioners and Defendants in Related Matters
`BLOOMBERG INC.
`BLOOMBERG L.P.
`BLOOMBERG FINANCE L.P.
`THE CHARLES SCHWAB CORPORATION
`CHARLES SCHWAB & CO., INC.
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`E*TRADE FINANCIAL CORPORATION
`E*TRADE SECURITIES LLC
`E*TRADE CLEARING LLC
`OPTIONSXPRESS HOLDINGS INC.
`OPTIONSXPRESS, INC.
`TD AMERITRADE HOLDING CORP.
`TD AMERITRADE, INC.
`TD AMERITRADE IP COMPANY, INC.
`THINKORSWIM GROUP INC.
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`Defendants in Related Matters
`ESIGNAL.COM, INC.
`IBG LLC
`INTERACTIVE BROKERS CORP.
`INTERACTIVE BROKERS LLC
`INTERACTIVE DATA CORPORATION
`LIGHTSPEED FINANCIAL, INC.
`LIGHTSPEED TRADING, LLC
`OM SECURITIES, LLC D/B/A TRADE MONSTER
`OPTIONMONSTER HOLDINGS, INC.
`RECOGNIA (U.S.) INC.
`RECOGNIA, INC.
`SCHWAB HOLDINGS, INC.
`TRADEKING GROUP, INC.
`TRADEKING HOLDINGS, LLC
`TRADEKING, LLC
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`RELATED MATTERS
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`Patent Owner identifies the following judicial or administrative matters related to U.S.
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`Patent No. 7,941,357 and Trial No. CBM2013-00005:
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`i.)
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`Markets-Alert Pty. Ltd. v. Bloomberg Finance L.P. et al.
`Civil Action No. 1:12-CV-00780-GMS, D. Del. (filed June 20, 2012)
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`ii.) Markets-Alert Pty. Ltd. v. The Charles Schwab Corporation et al.
`Civil Action No. 1:12-CV-00781-GMS, D. Del. (filed June 20, 2012)
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`iii.) Markets-Alert Pty. Ltd. v. E*Trade Clearing LLC et al.
`Civil Action No. 1:12-CV-00782-GMS, D. Del. (filed June 20, 2012)
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`iv.) Markets-Alert Pty. Ltd. v. TD Ameritrade Holding Corp. et al.
`Civil Action No. 1:12-CV-00783-GMS, D. Del. (filed June 20, 2012)
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`v.) Markets-Alert Pty. Ltd. v.OM Securities LLC et al.
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`Civil Action No. 1:12-CV-00784-GMS, D. Del. (filed June 20, 2012)
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`vi.) Markets-Alert Pty. Ltd. v.eSignal.com Inc. et al.
`Civil Action No. 1:12-CV-00785-GMS, D. Del. (filed June 20, 2012)
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`LEAD AND BACK-UP COUNSEL
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`In accordance with 37 C.F.R. § 42.8(b)(3), Patent Owner identifies Andrew Choung as
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`lead counsel and William Fitzpatrick as back-up counsel:
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`Andrew Choung, Lead Counsel
`USPTO Reg. No. 46622
`GLASER WEIL FINK JACOBS HOWARD
`AVCHEN & SHAPIRO LLP
`10250 Constellation Boulevard, 19th Floor
`Los Angeles, CA 90067
`achoung@glaserweil.com
`Tel.: 310-553-3000
`Fax: 310-785-3506
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`William Fitzpatrick, Back-up Counsel
`USPTO Reg. No. 58332
`F. Robbe International
`10250 Constellation Boulevard, 23rd
` Floor
`Los Angeles, CA 90067
`bill@frobbeintl.com
`Tel.: 310.525.3525
`Fax: 310.525.3528
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`SERVICE INFORMATION
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`In accordance with 37 C.F.R. § 42.8(b)(4), Patent Owners identify the following service
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`information:
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`Andrew Choung, Lead Counsel
`USPTO Reg. No. 46622
`GLASER WEIL FINK JACOBS HOWARD AVCHEN & SHAPIRO LLP
`10250 Constellation Boulevard, 19th Floor
`Los Angeles, CA 90067
`achoung@glaserweil.com
`Tel.: 310-553-3000
`Fax: 310-785-3506
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`William Fitzpatrick, Back-up Counsel
`USPTO Reg. No. 58332
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`F. Robbe International
`10250 Constellation Boulevard, 23rd
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`Los Angeles, CA 90067
`bill@frobbeintl.com
`Tel.: 310.525.3525
`Fax: 310.525.3528
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`The undersigned attorneys welcome a telephone call should the Office have any requests
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`or questions.
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`Respectfully Submitted,
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`/Andrew Choung/
`Andrew Choung, Lead Counsel
`USPTO Reg. No. 46622
`GLASER WEIL FINK JACOBS HOWARD
`AVCHEN & SHAPIRO LLP
`10250 Constellation Boulevard, 19th Floor
`Los Angeles, CA 90067
`Email: achoung@glaserweil.com
`Tel.: 310-553-3000
`Fax: 310-785-3506
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`November 5, 2012
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`CERTIFICATE OF SERVICE
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`I certify that a copy of the foregoing Patent Owner's Mandatory Notice Pursuant to 37
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`C.F.R. § 42.8 was served on November 5, 2012 by causing it to be deposited in the United States
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`Postal Service as Express Mail (Label No. ____________) postage pre-paid in an envelope
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`addressed to counsel for petitioner at the following address:
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`Michael T. Rosato, Lead Counsel
`USPTO Reg. No. 52,182
`WILSON SONSINI GOODRICH & ROSATI
`701 Fifth Avenue
`Suite 5100
`Seattle, WA 98104-7036
`Tel.: 206-883-2529
`Fax: 206-883-2699
`Email: mrosato@wsgr.com
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`Brian D. Range, Back-up Counsel
`USPTO Reg. No. 48,437
`WILSON SONSINI GOODRICH & ROSATI
`900 South Capital of Texas Hwy Las Cimas IV, Fifth Floor
`Austin, TX 78746-5546
`Tel.: 512-338-5478
`Fax: 512-338-5499
`Email: brange@wsgr.com
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