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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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` CQG, INC. and CQGT, LLC
`Petitioner
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`v.
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`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`
`Case CBM2015-00057
`U.S. Patent No. 6,766,304
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`PATENT OWNER’S MANDATORY NOTICES
`PURSUANT TO 37 C.F.R. § 42.8
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`Pursuant to 37 C.F.R. § 42.8(a)(2), Patent Owner Trading Technologies
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`Case CBM2015-00057
`Patent 6,766,304
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`
`
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`International, Inc. (“Trading Technologies”) hereby submits the following
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`mandatory notices in connection with this proceeding.
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`I.
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`
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`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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`II. TRADING TECHNOLOGIES’ MANDATORY NOTICES
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`(a)
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`37 C.F.R. § 42.8(b)(1): Real Party-in-Interest
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`The real party in interest for the Patent Owner is Trading Technologies
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`International, Inc.
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`(b)
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`37 C.F.R. § 42.8(b)(2): Related Matters1
`(1) Status of litigations related to this proceeding
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`CQG filed a complaint for declaratory judgment action against TT
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`challenging, inter alia, the validity of the ’304 patent in the U.S. District Court for
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`the District of Colorado on August 17, 2005 (“Colorado DJ Action”). Ex. 1003. In
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`response, TT sued CQG in the Northern District of Illinois (“Illinois Infringement
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`Action”). Ex. 1004. CQG moved to dismiss the Illinois Infringement Action, but
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`the Illinois court ruled that “the Colorado court should transfer the related case to
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`1 To ensure completeness, Patent Owner has listed all proceedings relating to U.S.
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`Patent No. 6,766,304 or a family member of U.S. Patent No. 6,766,304.
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`2
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`Illinois for consolidation with [the Illinois Infringement Action]” and denied
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`Case CBM2015-00057
`Patent 6,766,304
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`CQG’s motion to dismiss. Ex. 2002, p. 7. The Colorado court transferred the
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`Colorado DJ Action to the Northern District of Illinois (“Transferred Colorado DJ
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`Action”). Ex. 1006. CQG proposed to consolidate the Transferred Colorado DJ
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`Action with the Illinois Infringement Action by dismissing the Transferred
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`Colorado DJ Action without prejudice and providing CQG with leave to file an
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`Amended Answer, Affirmative Defenses, and Counterclaims in the Illinois
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`Infringement Action. Ex. 1012, p. 3. The Illinois court dismissed the Transferred
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`Colorado DJ Action without prejudice and granted CQG leave to file an Amended
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`Answer, Affirmative Defenses, and Counterclaims in the Illinois Action, as
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`requested. Ex. 1013.
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`In the Illinois Infringement Action, CQG moved to stay the proceeding in
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`light of this CBM. The Court denied the stay, Ex. 2001, and CQG appealed that
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`decision to the Federal Circuit. Ex. 2003.
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`The Court has scheduled argument on the issue of the validity of the ’304
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`patent under 35 U.S.C. § 101 for February 23, 2015. Ex. 2004.
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`(2) Other pending judicial matters that would affect, or be affected
`by, a decision in this proceeding
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`Trading Techs. Int’l, Inc. v. Open E Cry, LLC, Case No. 1:10-cv-
`
`00885 (N.D. Ill.);
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`3
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`
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`Trading Techs. Int’l, Inc. v. Tradestation Sec., Inc., Case No. 1:10-cv-
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`Case CBM2015-00057
`Patent 6,766,304
`
`
`
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`00884 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. thinkorswim Grp., Inc., Case No. 1:10-cv-
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`00883 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. IBG LLC, Case No. 1:10-cv-00721 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. FuturePath Trading, LLC, Case No. 1:10-cv-
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`00720 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. CQG, Inc., Case No. 1:10-cv-00718 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Sungard Data Sys., Inc., Case No. 1:10-cv-
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`00716 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. FuturePath Trading, LLC, Case No. 1:05-cv-
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`05164 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. GL Consultants, Inc., Case No. 1:05-cv-
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`04120 (N.D. Ill.).
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`(3) 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
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`(N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. TradeHelm, Inc., Case No. 1:10-cv-00931 (N.D.
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`Ill.);
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`4
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`
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`Trading Techs. Int’l, Inc. v. Rosenthal Collins Grp., LLC, Case No. 1:10-
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`Case CBM2015-00057
`Patent 6,766,304
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`
`
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`cv-00929 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Stellar Trading Sys., Ltd., Case No. 1:10-cv-
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`00882 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Cunningham Trading Sys., LLC, Case No. 1:10-
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`cv-00726 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. BCG Partners, Inc., Case No. 1:10-cv-00715
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`(N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Orc Software, Inc., Case No. 1:05-cv-06265
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`(N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Transmarket Grp., Case No. 1:05-cv-05161
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`(N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. FFastFill PLC, Case No. 1:05-cv-04449 (N.D.
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`Ill.);
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`Trading Techs. Int’l, Inc. v. Strategy Runner, Ltd., Case No. 1:05-cv-
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`04357 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Rolfe and Nolan Sys. Inc., Case No. 1:05-cv-
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`04354 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. RTS Realtime Sys., Inc., et al. Case No. 1:05-
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`cv-04332 (N.D. Ill.);
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`5
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`
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`Trading Techs. Int’l, Inc. v. Peregrine Fin. Grp., Inc., Case No. 1:05-cv-
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`Case CBM2015-00057
`Patent 6,766,304
`
`
`
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`04137 (N.D. Ill.);
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`Rosenthal Collins Grp., LLC vs. Trading Techs. Int’l, Inc., Case No.
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`1:05- cv-04088 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Ninja Trader, LLC, Case No. 1:05-cv-03953
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`(N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Patsystems NA, LLC, Case No. 1:05-cv-
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`02984(N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Man Grp. PLC, Case No. 1:05-cv-02164
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`(N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Refco Grp., Ltd. LLC, Case No. 1:05-cv-
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`01079 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Kingstree Trading, LLC, Case No. 1:04-cv-
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`06740 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Goldenberg Hehmeyer, Case No. 1:04-cv-
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`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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`(3) Administrative matters related to this patent
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`Reexamination Control No. 90/008,577 (U.S. Patent No. 6,766,304);
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`Reexamination Control No. 90/008,576 (U.S. Patent No. 6,772,132);
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`6
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`
`
`Case CBM2015-00057
`Patent 6,766,304
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`Reexamination Control No. 90/011,250 (U.S. Patent No. 6,772,132);
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`CBM2014-00133 (U.S. Patent No. 7,676,411);
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`CBM2014-00135 (U.S. Patent No. 6,772,132);
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`CBM2014-00136 (U.S. Patent No. 6,766,304) (not instituted);
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`CBM2014-00137 (U.S. Patent No. 7,685,055);
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`CBM2015-00058 (U.S. Patent No. 6,772,132).
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`In further compliance with 37 C.F.R. § 42.8(b)(2)—as clarified in response
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`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
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`identifies the following matters related to this patent: Opposition to European
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`Patent No. EP1319211.
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`(c)
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`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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`7
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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
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`Case CBM2015-00057
`Patent 6,766,304
`
`
`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
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`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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`
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`Dated: January 16, 2015
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`
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`Respectfully submitted,
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`By: /Erika H. Arner/
`Erika H. Arner (Reg. No. 57,540)
`Joshua L. Goldberg (Reg. No. 59, 369)
`Steven F. Borsand (Reg. No. 36,752)
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`8
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`Case CBM2015-00057
`Patent 6,766,304
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`CERTIFICATE OF SERVICE
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`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 January
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`16, 2015, via email directed to counsel of record for the Petitioner at the
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`following:
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`Dated: January 16, 2015
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`Adam G. Kelly
`akelly@loeb.com
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`William J. Kramer
`wkramer@loeb.com
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`William J. Voller, III
`wvoller@loeb.com
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`
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`/Ashley F. Cheung/
`Ashley Cheung
`Case Manager
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`Finnegan, Henderson, Farabow, Garrett &
`Dunner, LLP
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`9
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