`Sent:
`To:
`Cc:
`Subject:
`
`Rob Sokohl <RSOKOHL@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.com]
`Sent: Thursday, August 21, 2014 10:45 AM
`To: Rob Sokohl
`Cc: Arner, Erika; Jon Strang; Bell, Cory; Lori Gordon; Trading-Tech-CBM
`Subject: RE: Issues for PTAB call
`
`Rob,
`
`
`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 TT 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 TT 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: Arner, 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
`
`
`
`1
`
`TRADING TECH EXHIBIT 2003
`TD Ameritrade v. Trading Technologies
`CBM2014-00137
`
`Page 1 of 10
`
`
`
`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.
`
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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
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`
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`9
`
`Page 9 of 10
`
`
`
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`received this message in error, please advise the sender by return e-mail and delete it from your mailbox. 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,
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`
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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,
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`
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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 mailbox. 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,
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`the sender by return e-mail and delete it from your mailbox. 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
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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 mailbox. Thank you.
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`10
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`Page 10 of 10