`
`From:
`Sent:
`
`To:
`Cc:
`
`Subject:
`
`Rob Sokohl < RSOKOH L@skgf.com>
`Thursday, August 21, 2014 11:09 AM
`
`Goldberg, Joshua
`Arner, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech—CBM
`
`RE: Issues for PTAB call
`
`Rob, We do not agree to your proposal.
`
`Rob
`
`From: Goldberg, Joshua [mailto:Joshua.Goldberg@finnegan.oom]
`Sent: Thursday, August 21, 2014 10:45 AM
`To: Rob Sokohl
`
`Cc: Amer, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call
`
`RobI
`
`Because you refuse to provide a reason why this should be removed from the record, we oppose at this time. We do
`not believe a meet and confer will be helpful unless you plan to provide us with a reason why an exhibit to the petition
`should be removed from the record.
`
`We would, however, be willing to reconsider if you stipulate that if any of the petitions are instituted, TD will not use the
`
`fact that this document was expunged against TT in any arguments Tl' may make relating to seeking discovery based on
`
`waiver of attorney/client privilege or work-product due to the production of that document, and TT would not be
`prejudiced in any way in making such arguments based on the document being expunged.
`It is TT's position that the
`
`document you seek to expunge includes attorney/client privilege and work-product material, and that its inclusion in the
`petitions constituted a waiver that affects TD's obligations under routine discovery and that may entitle TI" to further
`
`discovery. But, this is an issue that TT only intends to pursue if any petition is instituted.
`
`Josh
`
`From: Rob Sokohl |mailto:RSOKOHL@skgf.com|
`Sent: Wednesday, August 20, 2014 5:18 PM
`To: Goldberg, Joshua
`Cc: Amer, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call
`
`Josh -
`
`We plan to send email to the Board asking for permission to file a motion to expunge this document.
`
`We are only asking whether you plan to oppose and if so, what your basis for opposition is.
`
`Please let us know by noon tomorrow.
`
`Rob
`
`Page 1 of 10
`
`TRADING TECH EXHIBIT 2003
`1
`TD Ameritrade v. Trading Technologies
`CBM2014—00131
`
`

`

`From: Goldberg, Joshua [mailto:Joshua.Goldberg@finnegan.com]
`Sent: Wednesday, August 20, 2014 4:51 PM
`To: Rob Sokohl
`Cc: Arner, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`
`  
`We are checking with our client regarding proposing a potential stipulation to resolve this issue.  Thanks. 
`
`  
`From: Rob Sokohl [mailto:RSOKOHL@skgf.com]
`Sent: Wednesday, August 20, 2014 3:32 PM
`To: Goldberg, Joshua
`Cc: Arner, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`  
`Josh, We note that this document could  have been removed previously had Trading Technologies not opposed its 
`removal from the record in the first instance.    
`
`  
`Therefore we ask again, do you oppose?  Otherwise, please let us know whether you available today or tomorrow 
`morning to meet and confer regarding your reasons for opposing since we want to notify the Board of our request as 
`soon as possible. 
`
`  
`Rob 
`  
`
`  
`From: Goldberg, Joshua [mailto:Joshua.Goldberg@finnegan.com]
`Sent: Wednesday, August 20, 2014 2:45 PM
`To: Rob Sokohl
`Cc: Arner, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`
`  
`Rob, 
`
`  
`Given that the Hilmert memo has now been in the public record for more than 3 months, please let us know why you 
`are still interested in having it expunged. 
`
`  
`Thanks, 
`Josh 
`  
`
`  
`From: Rob Sokohl [mailto:RSOKOHL@skgf.com]
`Sent: Tuesday, August 19, 2014 2:15 PM
`To: Goldberg, Joshua
`Cc: Arner, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`  
`Josh/Erika,  
`
`  
`TD Ameritrade intents to renew its request that the Board expunge the Hilmert memo from the record.  As you are 
`aware, the Board suggested that we renew this request once the real party in interest issue was resolved.  We would like 
`to contact the Board first thing Thursday morning, so please let us know by COB tomorrow whether TTI will oppose TD 
`Ameritrade's renewed request.  If TTI is opposed, please let us know why and when you are available for a meet and 
`confer to discuss.  Thank  you. 
`  
`
`2
`
`Page 2 of 10
`
`

`

`Rob 
`  
`
`  
`From: Goldberg, Joshua [mailto:Joshua.Goldberg@finnegan.com]
`Sent: Tuesday, August 05, 2014 10:57 AM
`To: Rob Sokohl
`Cc: Arner, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`
`  
`We are likewise available on Friday.  We would like to give the Board a second option too, if possible.  Would Monday 
`work for you? 
`
`  
`From: Rob Sokohl [mailto:RSOKOHL@skgf.com]
`Sent: Monday, August 04, 2014 5:36 PM
`To: Goldberg, Joshua
`Cc: Arner, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`
`  
`Thursday (other than 2‐3) and all day Friday up to 4:00 pm work for us. 
`
`  
`Rob 
`
`  
`From: Goldberg, Joshua [mailto:Joshua.Goldberg@finnegan.com]
`Sent: Monday, August 04, 2014 4:57 PM
`To: Rob Sokohl
`Cc: Arner, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`
`  
`Rob, 
`
`  
`Further to our discussion on Friday, can you please provide your availability for a call with the Board this week? 
`
`  
`Thanks, 
`Josh 
`  
`
`  
`From: Goldberg, Joshua
`Sent: Thursday, July 31, 2014 12:01 PM
`To: 'Rob Sokohl'
`Cc: Arner, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`
`  
`Rob, 
`
`  
`Let’s talk at 4pm tomorrow using the following teleconference numbers. 
`  
`International dial in: 719‐234‐7421 
`Toll free: 888‐546‐0543 
`Passcode: 202‐408‐6092 
`  
`Josh 
`  
`  
`
`3
`
`Page 3 of 10
`
`

`

`From: Rob Sokohl [mailto:RSOKOHL@skgf.com]
`Sent: Wednesday, July 30, 2014 7:52 PM
`To: Goldberg, Joshua
`Cc: Arner, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: Re: Issues for PTAB call 
`
`  
`Friday works for us. Let us know what time.  
`
`  
`Rob 
` 
`Sent from my iPhone 
` 
`On Jul 30, 2014, at 5:52 PM, "Goldberg, Joshua" <Joshua.Goldberg@finnegan.com> wrote: 
`
`Rob, 
`
`  
`Perhaps it would be best to resolve these issues with a phone call.  Would you be available for such a 
`call on Friday or Monday? 
`
`  
`Thanks, 
`Josh 
`  
`
`  
`From: Rob Sokohl [mailto:RSOKOHL@skgf.com]
`Sent: Tuesday, July 29, 2014 4:57 PM
`To: Goldberg, Joshua; Arner, Erika
`Cc: Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`  
`Josh, I want to follow up on my email of last week since we have not received a response to our 
`question below.  
`
`  
`Rob 
`
`  
`From: Rob Sokohl
`Sent: Friday, July 25, 2014 5:56 PM
`To: 'Goldberg, Joshua'; Arner, Erika
`Cc: Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`  
`
`Josh, please explain why your additional questions are relevant to the “real party in 
`interest."   We have already answered the following question: "Did any party other than TD 
`Ameritrade provide (i) work product for the petitions or (ii) comments on drafts of the 
`petitions?  If yes for (i) or (ii), please identify any parties that provided (i) or (ii), and what such 
`parties provided."  Answer: (i) No, (ii) No.  We also told you that Hilmert memo was obtained in 
`2010.   
`
`  
`We fail to see how the questions below are relevant. 
`
`  
`Rob 
`
`  
`
`From: Goldberg, Joshua [mailto:Joshua.Goldberg@finnegan.com]
`Sent: Friday, July 25, 2014 4:09 PM
`
`4
`
`Page 4 of 10
`
`

`

`To: Rob Sokohl; Arner, Erika
`Cc: Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`
`  
`Rob, 
`
`  
`We have the following additional questions: 
`  
`
`1. You said “TD Ameritrade obtained the Hilmert Memo in April, 2010, in a response to a request 
`for prior art.”  To what individuals and entities was the “request for prior art” directed? 
`2. Who gave TD Ameritrade the Hilmert Memo?  Did you ask this individual or entity if they had 
`any information inconsistent with the positions you advanced in the petitions?  
`3. Was TD Ameritrade given the Hilmert Memo under a joint defense agreement? 
`
`  
`
`Please let us know if you agree to provide responses to these questions. 
`
`  
`Regards, 
`Josh 
`  
`
`  
`From: Rob Sokohl [mailto:RSOKOHL@skgf.com]
`Sent: Friday, July 25, 2014 10:45 AM
`To: Goldberg, Joshua; Arner, Erika
`Cc: Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`  
`Josh, please let us know (preferably today) whether you have any further questions re: the Hilmert 
`memo.   We want to renew our request as soon as possible to have the Hilmert memo expunged per the 
`Board's suggestion.  
`
`  
`Rob  
`
`  
`From: Goldberg, Joshua [mailto:Joshua.Goldberg@finnegan.com]
`Sent: Wednesday, July 23, 2014 11:16 AM
`To: Arner, Erika; Rob Sokohl
`Cc: Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`
`  
`Rob and Jon, 
`
`  
`We are still conferring with our client on this, and we will get back to you soon. 
`
`  
`Regards, 
`Josh 
`  
`
`  
`From: Arner, Erika
`Sent: Friday, July 18, 2014 12:00 PM
`To: Rob Sokohl; Goldberg, Joshua
`Cc: Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`
`  
`Rob and Jon, 
`
`5
`
`Page 5 of 10
`
`

`

`Thanks for reaching out.  We are talking with our client early next week and will circle back with you 
`then. 
`Regards, 
`Erika 
`
`  
`From: Rob Sokohl [mailto:RSOKOHL@skgf.com]
`Sent: Thursday, July 17, 2014 5:37 PM
`To: Goldberg, Joshua
`Cc: Jon Strang; Arner, Erika; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`
`  
`Erika and Josh, 
`
`  
`As a follow‐up to today’s conference call with the Board, what additional information do you need 
`regarding the Hilmert memo? 
`
`  
`Best,   
`
`  
`Rob and Jon 
`  
`
`  
`From: Rob Sokohl
`Sent: Wednesday, July 16, 2014 6:51 PM
`To: 'Goldberg, Joshua'
`Cc: Jon Strang; Arner, Erika; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`  
`Josh, as promised, here are our responses to your three questions. 
`  
`1. How did TD Ameritrade obtain Ex. 1006 to CBM2014‐00131, Ex. 1009 to CBM2014‐00133, Ex. 
`1015 to CBM2014‐00135, Ex. 1005 at CBM2014‐00136, and Ex. 1010 at CBM2014‐00137 (the 
`“Hilmert Memo”)? TD Ameritrade obtained the Hilmert Memo in April, 2010, in a response to a 
`request for prior art. 
`
`  
`
`Rob 
`  
`
`  
`From: Goldberg, Joshua [mailto:Joshua.Goldberg@finnegan.com]
`Sent: Wednesday, July 16, 2014 12:26 PM
`To: Rob Sokohl
`Cc: Jon Strang; Arner, Erika; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call 
`
`  
`Rob, 
`  
`
`6
`
`  
`
`  
`
`2. Did eSpeed give TD Ameritrade permission to file the Hilmert Memo in the petitions? No. 
`
`3. Did any party other than TD Ameritrade provide (i) work product for the petitions or (ii) 
`comments on drafts of the petitions?  If yes for (i) or (ii), please identify any parties that 
`provided (i) or (ii), and what such parties provided. 
`(i) No, (ii) No. 
`
`Page 6 of 10
`
`

`

`Any update on this?  Will you be providing responses to our three questions before tomorrow’s call with 
`the Board? 
`
`  
`Thanks, 
`Josh 
`  
`
`  
`From: Rob Sokohl [mailto:RSOKOHL@skgf.com]
`Sent: Monday, July 14, 2014 8:51 PM
`To: Goldberg, Joshua
`Cc: Jon Strang; Arner, Erika; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: Re: Issues for PTAB call 
`
`  
`Thank you Joshua. We will get back to you shortly.  
`
`  
`Rob  
` 
`Sent from my iPhone 
` 
`On Jul 14, 2014, at 7:48 PM, "Goldberg, Joshua" <Joshua.Goldberg@finnegan.com> wrote: 
`
`Jon and Rob, 
`
`  
`Thanks for the call today and your below message.  As discussed, our discovery issue 
`may be resolved with answers to the following questions: 
`  
`
`1. How did TD Ameritrade obtain Ex. 1006 to CBM2014‐00131, Ex. 1009 to 
`CBM2014‐00133, Ex. 1015 to CBM2014‐00135, Ex. 1005 at CBM2014‐00136, 
`and Ex. 1010 at CBM2014‐00137 (the “Hilmert Memo”)? 
`
`  
`
`  
`
`2. Did eSpeed give TD Ameritrade permission to file the Hilmert Memo in the 
`petitions? 
`
`3. Did any party other than TD Ameritrade provide (i) work product for the 
`petitions or (ii) comments on drafts of the petitions?  If yes for (i) or (ii), please 
`identify any parties that provided (i) or (ii), and what such parties provided. 
`
`  
`
`Please let us know if you agree to provide responses to these questions. 
`
`  
`Regards, 
`Josh 
`
`  
`Joshua L. Goldberg
`Attorney at Law
`Finnegan, Henderson, Farabow, Garrett & Dunner, LLP
`901 New York Avenue, NW, Washington, DC 20001-4413
`202.408.6092 | fax 202.408.4400 | joshua.goldberg@finnegan.com  
`www.finnegan.com | Bio | LinkedIn | PTAB Guidebook 
`
`  
`From: Jon Strang [mailto:JSTRANG@skgf.com]
`Sent: Monday, July 14, 2014 7:04 PM
`To: Arner, Erika; Bell, Cory; Lori Gordon
`Cc: Trading-Tech-CBM; Rob Sokohl
`Subject: RE: Issues for PTAB call 
`
`7
`
`Page 7 of 10
`
`

`

`  
`
`Erika, 
`
`  
`To follow up on our call today, the two items that we identified we need additional 
`discovery on (at this point) are: 
`  
`
`(1) The date that TTI first approached Finnegan (or conversely, the date the 
`Finnegan first contacted TTI), and 
`  
`(2) The date Finnegan first circulated a conflict check for TTI as a new client or 
`for this particular matter. 
`
`  
`
`Best, 
`  
`Jon 
`  
`
`  
`From: Arner, Erika [mailto:erika.arner@finnegan.com]
`Sent: Friday, July 11, 2014 5:59 PM
`To: Jon Strang; Bell, Cory; Lori Gordon
`Cc: Trading-Tech-CBM; Rob Sokohl
`Subject: RE: Issues for PTAB call 
`
`  
`Thanks, Jon.  Monday at 4 works for us.  We can use this conference line: 
`Dial: 888‐546‐0543 
`Passcode: 571‐203‐2754 
`
`  
`Regards, 
`Erika 
`
`  
`Erika H. Arner
`Attorney at Law
`Finnegan, Henderson, Farabow, Garrett & Dunner, LLP
`11955 Freedom Drive, Reston, VA, 20190
`571.203.2754 | fax 202.408.4400 | erika.arner@finnegan.com| Bio  
`Finnegan AIA Blog | www.finnegan.com | PTAB Guidebook 
`  
`  
`
`  
`From: Jon Strang [mailto:JSTRANG@skgf.com]
`Sent: Friday, July 11, 2014 4:21 PM
`To: Bell, Cory; Lori Gordon
`Cc: Trading-Tech-CBM; Rob Sokohl
`Subject: RE: Issues for PTAB call 
`
`  
`Cory, 
`
`  
`We are not available today, Friday, July 11.  Does Monday, July 14, at 4 p.m. Eastern 
`work for you?   
`
`  
`Please advise us of the number, nature, and purpose of the videos and animations you 
`intend to use as exhibits before COB today so that we may properly prepare for the 
`meet and confer.   
`  
`
`8
`
`Page 8 of 10
`
`

`

`Also, you stated you would like to additional discovery at least regarding the Hilmert 
`memo.  Please advise us before COB today regarding the nature of the information you 
`will be seeking regarding the Hilmert memo, and any topics other than the Hilmert 
`memo, so that we may be prepared to address your concerns.   
`
`  
`The meet and confer will also cover additional discovery we will be seeking involving 
`your firm’s representation of our client, TD Ameritrade, and its representation of 
`Trading Technologies. We will be seeking testimony, documents, and written discovery 
`such as interrogatories related the extent and timing of your firm’s representation of 
`the two parties, including billing records, conflict checks, other internal documents and 
`communications, and communications with the parties. 
`
`  
`Best Regards, 
`  
`Jon 
`
`  
`From: Bell, Cory [mailto:Cory.Bell@finnegan.com]
`Sent: Thursday, July 10, 2014 4:22 PM
`To: Lori Gordon; Jon Strang
`Cc: Trading-Tech-CBM
`Subject: Issues for PTAB call 
`
`  
`Lori and Jonathan— 
`
`  
`Please let us know your availability for a call tomorrow after 2:00 ET or on Monday.  On 
`the call, we would like to discuss two issues.  First, we would like to include one or more 
`exhibits with our preliminary response that are videos/animations.  Second, we would 
`like to take additional discovery at least related to the Hilmert memo (Ex. 1006 to 
`CBM2014‐00131; Ex. 1009 to CBM2014‐00133; Ex. 1015 to CBM2014‐00135; Ex. 1005 at 
`CBM2014‐00136; Ex. 1010 at CBM2014‐00137). 
`
`  
`Please let us know if you have any topics you would like to discuss. 
`
`  
`Thanks, 
`
`  
`Cory C. Bell
`Attorney* 
`Finnegan, Henderson, Farabow, Garrett & Dunner, LLP
`Two Seaport Lane, Boston, MA 02210-2001
`617.646.1641 | fax: 617.646.1666 | cory.bell@finnegan.com | www.finnegan.com 
`*Admitted in Virginia only; practicing under the supervision of the partners of Finnegan's 
`Boston office 
`  
`  
`
`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is
`privileged, confidential, proprietary, or otherwise exempt from disclosure under applicable law. If you believe you have
`received this message in error, please advise the sender by return e-mail and delete it from your mailbox. Thank you. 
`
`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is
`privileged, confidential, proprietary, or otherwise exempt from disclosure under applicable law. If you believe you have
`received this message in error, please advise the sender by return e-mail and delete it from your mailbox. Thank you. 
`
`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is
`9
`
`Page 9 of 10
`
`

`

`privileged, confidential, proprietary, or otherwise exempt from disclosure under applicable law. If you believe you have
`received this message in error, please advise the sender by return e-mail and delete it from your mailbox. Thank you. 
`
`
`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is privileged, confidential,
`proprietary, or otherwise exempt from disclosure under applicable law. If you believe you have received this message in error, please advise
`the sender by return e-mail and delete it from your mai box. Thank you. 
`
`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is privileged, confidential,
`proprietary, or otherwise exempt from disclosure under applicable law. If you believe you have received this message in error, please advise
`the sender by return e-mail and delete it from your mai box. Thank you. 
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`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is privileged, confidential,
`proprietary, or otherwise exempt from disclosure under applicable law. If you believe you have received this message in error, please advise
`the sender by return e-mail and delete it from your mai box. Thank you. 
`
`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is privileged, confidential,
`proprietary, or otherwise exempt from disclosure under applicable law. If you believe you have received this message in error, please advise
`the sender by return e-mail and delete it from your mai box. Thank you. 
`
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`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is privileged, confidential, proprietary, or otherwise
`exempt from disclosure under applicable law. If you believe you have received this message in error, please advise the sender by return e-mail and delete it from
`your mai box. Thank you. 
`
`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is privileged, confidential, proprietary, or otherwise
`exempt from disclosure under applicable law. If you believe you have received this message in error, please advise the sender by return e-mail and delete it from
`your mai box. Thank you. 
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`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is privileged, confidential, proprietary, or otherwise
`exempt from disclosure under applicable law. If you believe you have received this message in error, please advise the sender by return e-mail and delete it from
`your mai box. Thank you. 
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`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is privileged, confidential, proprietary, or otherwise
`exempt from disclosure under applicable law. If you believe you have received this message in error, please advise the sender by return e-mail and delete it from
`your mai box. Thank you. 
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`
`This e-mail message is intended only for individual(s) to whom it is addressed and may contain information that is privileged, confidential, proprietary, or otherwise
`exempt from disclosure under applicable law. If you believe you have received this message in error, please advise the sender by return e-mail and delete it from
`your mai box. Thank you.
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