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UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`TD AMERITRADE HOLDING CORPORATION,
`TD AMERITRADE, INC., and
`TD AMERITRADE ONLINE HOLDINGS CORP.
`Petitioners
`
`v.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`
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`
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`
`
`
`
`Case CBM2014-00135
`U.S. Patent No. 6,772,132
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`
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`PATENT OWNER’S MANDATORY NOTICES
`PURSUANT TO 37 C.F.R. § 42.8
`
`Pursuant to 37 C.F.R. § 42.8(a)(2), Patent Owner Trading Technologies
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`International, Inc. (“Trading Technologies”) hereby submits the following
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`mandatory notices in connection with this proceeding.
`
`I.
`
`TRADING TECHNOLOGIES’ POWER OF ATTORNEY
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`A Power of Attorney appointing lead and back-up counsel is being filed
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`concurrently with these Notices.
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`1
`
`

`

`II. TRADING TECHNOLOGIES’ MANDATORY NOTICES
`37 C.F.R. § 42.8(b)(1): Real Party-in-Interest
`(a)
`The real party in interest for the Patent Owner is Trading Technologies
`
`International, Inc.
`
`37 C.F.R. § 42.8(b)(2): Related Matters1
`(b)
`Trading Technologies identifies the following pending judicial matters that
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`would affect, or be affected by, a decision in this proceeding:
`
`Trading Techs. Int’l, Inc. v. Open E Cry, LLC, Case No. 1:10-cv-00885
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Tradestation Sec., Inc., Case No. 1:10-cv-00884
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. thinkorswim Grp., Inc., Case No. 1:10-cv-00883
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. IBG LLC, Case No. 1:10-cv-00721 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. FuturePath Trading, LLC, Case No. 1:10-cv-
`
`00720 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. CQG, Inc., Case No. 1:10-cv-00718 (N.D. Ill.);
`
`
`1 To ensure completeness, Patent Owner has listed all proceedings relating to the
`
`U.S. Patent No. 6,772,132 or a family member of U.S. Patent No. 6,772,132.
`
`2
`
`

`

`Trading Techs. Int’l, Inc. v. Sungard Data Sys., Inc., Case No. 1:10-cv-
`
`00716 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. FuturePath Trading, LLC, Case No. 1:05-cv-
`
`05164 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. CQG, Inc., Case No. 1:05-cv-04811 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. GL Consultants, Inc., Case No. 1:05-cv-04120
`
`(N.D. Ill.).
`
`
`
`Trading Technologies identifies the following settled, terminated, or
`
`completed judicial matters related to this patent:
`
`GL Trade Ams., Inc. v. Trading Techs. Int’l, Inc., Case No. 1:11-cv-01558
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. TradeHelm, Inc., Case No. 1:10-cv-00931 (N.D.
`
`Ill.);
`
`Trading Techs. Int’l, Inc. v. Rosenthal Collins Grp., LLC, Case No. 1:10-cv-
`
`00929 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Stellar Trading Sys., Ltd., Case No. 1:10-cv-
`
`00882 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Cunningham Trading Sys., LLC, Case No. 1:10-
`
`cv-00726 (N.D. Ill.);
`
`3
`
`

`

`Trading Techs. Int’l, Inc. v. BCG Partners, Inc., Case No. 1:10-cv-00715
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Orc Software, Inc., Case No. 1:05-cv-06265
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Transmarket Grp., Case No. 1:05-cv-05161
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. FFastFill PLC, Case No. 1:05-cv-04449 (N.D.
`
`Ill.);
`
`Trading Techs. Int’l, Inc. v. Strategy Runner, Ltd., Case No. 1:05-cv-04357
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Rolfe and Nolan Sys. Inc., Case No. 1:05-cv-
`
`04354 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. RTS Realtime Sys., Inc., et al. Case No. 1:05-cv-
`
`04332 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Peregrine Fin. Grp., Inc., Case No. 1:05-cv-
`
`04137 (N.D. Ill.);
`
`Rosenthal Collins Grp., LLC vs. Trading Techs. Int’l, Inc., Case No. 1:05-
`
`cv-04088 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Ninja Trader, LLC, Case No. 1:05-cv-03953
`
`(N.D. Ill.);
`
`4
`
`

`

`Trading Techs. Int’l, Inc. v. Patsystems NA, LLC, Case No. 1:05-cv-02984
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Man Grp. PLC, Case No. 1:05-cv-02164 (N.D.
`
`Ill.); CQGT, LLC v. Trading Techs. Int’l, Inc., Case No. 1:05-cv-01584 (D. Colo.);
`
`Trading Techs. Int’l, Inc. v. Refco Grp., Ltd. LLC, Case No. 1:05-cv-01079
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Kingstree Trading, LLC, Case No. 1:04-cv-
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`06740 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Goldenberg Hehmeyer, Case No. 1:04-cv-06278
`
`(N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. eSpeed Inc., Case No. 1:04-cv-05312 (N.D. Ill.).
`
`
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`Trading Technologies identifies the following administrative matters related
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`to this patent:
`
`Reexamination Control No. 90/008,577 (U.S. Patent No. 6,766,304);
`
`Reexamination Control No. 90/008,576 (U.S. Patent No. 6,772,132);
`
`Reexamination Control No. 90/011,250 (U.S. Patent No. 6,772,132);
`
`CBM2014-00133 (U.S. Patent No. 7,676,411);
`
`CBM2014-00136 (U.S. Patent No. 6,766,304);
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`CBM2014-00137 (U.S. Patent No. 7,685,055).
`
`5
`
`

`

`
`
`In further compliance with 37 C.F.R. § 42.8(b)(2)—as clarified in response
`
`to Comment No. 34 to the Final Rules of Practice for Trials Before the Patent Trial
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`and Appeal Board and Judicial Review of Patent Trial and Appeal Board
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`Decisions, 77 Fed. Reg. 157 at 48629 (Aug. 14, 2012)—Trading Technologies
`
`identifies the following matters related to this patent: Opposition to European
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`Patent No. EP1319211.
`
`
`
`(c)
`
`37 C.F.R. § 42.8(b)(3) and (4): Lead and Back-Up Counsel, and
`Service Information
`
`Trading Technologies designates the following counsel to transact all
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`business in the United States Patent & Trademark Office associated with the
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`above-captioned proceeding.
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`6
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`

`

`Lead Counsel
`Erika H. Arner (Reg. No. 57,540)
`erika.arner@finnegan.com
`Finnegan, Henderson, Farabow,
`
`Garrett & Dunner, LLP
`11955 Freedom Drive
`Reston, VA 20190
`Phone: (571) 203-2754
`Fax: (202) 408-4400
`
`
`
`Back-Up Counsel
`Steven F. Borsand (Reg. No. 36,752)
`Steve.Borsand@tradingtechnologies.com
`Trading Technologies International, Inc.
`222 South Riverside Plaza, Suite 1100
`Chicago, IL 60606
`Phone: (312) 476-1018
`
`Joshua L. Goldberg (Reg. No. 59,369)
`joshua.goldberg@finnegan.com
`Finnegan, Henderson, Farabow,
`
`Garrett & Dunner, LLP
`901 New York Avenue, NW
`Washington, DC 20001-4413
`Phone: (202) 408-6092
`Fax: (202) 408-4400
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`Please address all correspondence regarding this proceeding to lead and
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`back-up counsel. Trading Technologies also consents to electronic service by
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`email.
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`Dated: June 9, 2014
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`Respectfully submitted,
`
`
`
`
`
`By:
`Erika H. Arner (Reg. No. 57,540)
`Joshua L. Goldberg (Reg. No. 59, 369)
`Finnegan, Henderson, Farabow,
`
`Garrett & Dunner, LLP
`11955 Freedom Drive
`Reston, VA 20190
`Phone: (571) 203-2754
`Fax: (202) 408-4400
`
`
`7
`
`

`

`Steven F. Borsand (Reg. No. 36,752)
`Steve.Borsand@tradingtechnologies.com
`Trading Technologies International, Inc.
`222 South Riverside Plaza, Suite 1100
`Chicago, IL 60606
`Phone: (312) 476-1018
`
`Attorneys for Patent Owner
`
`8
`
`

`

`CERTIFICATE OF SERVICE
`
`The undersigned hereby certifies that a copy of the foregoing Patent
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`Owner’s Mandatory Notices Pursuant to 37 C.F.R. § 42.8 was served on June 9,
`
`2014, via FedEx Express and email directed to counsel of record for the Petitioner
`
`at the following:
`
`Lori A. Gordon
` lgordon-ptab@skgf.com
`Jonathan M. Strang
` jstrang-ptab@skgf.com
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`
`
`
`/s/ Jacob T. Mersing
`
`
`
`
`
`

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