`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`
`
`IBG LLC; INTERACTIVE BROKERS LLC;
`TRADESTATION GROUP, INC.; TRADESTATION SECURITIES, INC.;
`TRADESTATION TECHNOLOGIES, INC.; and IBFX, INC.;
`Petitioners
`
`v.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`____________________
`
`Case CBM2015-00179
`Patent No. 7,533,056
`____________________
`
`
`PETITIONERS’ OBJECTIONS TO PATENT OWNER’S
`EVIDENCE PURSUANT TO 37 C.F.R. § 42.64(b)(1)
`
`
`
`
`
`
`
`
`
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`
`Petitioners’ Objections to TT’s Evidence
`CBM2015-00179
`IBG LLC, Interactive Brokers LLC, TradeStation Group, Inc., TradeStation
`
`Securities, Inc., TradeStation Technologies, Inc., and IBFX, Inc. (collectively,
`
`“Petitioners”) object under 37 C.F.R. § 42.64 to the admissibility of the following
`
`evidence Trading Technologies International, Inc. (“TT” or “Patent Owner”) filed
`
`and served on Sunday, June 26, 2016:
`
`TT Exhibit No. Description
`
`2116
`
`2121
`
`Thomas Ex. C - U.S. Patent No. 6,772,132
`
`U.S. Patent Classification System – Classification Definitions –
`
`Class 705
`
`2124
`
`Class 345, Computer Graphics Processing and Selective Visual
`
`Display Systems, (January 2011): 1-8
`
`2125
`
`July 2015 Update Appendix 1: Examples, USPTO Examination
`
`Guidelines
`
`2159
`
`TSE-filed opposition document to Japanese Patent Application
`
`No. 2001-564025 (TSE0000000982-995)
`
`2160
`
`Certified Translation of TSE-filed opposition document to
`
`Japanese Patent Application No. 2001-564025
`
`(TSE0000000982-995)
`
`
`
`- 2 -
`
`
`
`Petitioners’ Objections to TT’s Evidence
`CBM2015-00179
`
`TT Exhibit No. Description
`
`2161
`
`Harold Abilock Certification of Translation of TSE-filed
`
`opposition document to Japanese Patent Application No. 2001-
`
`2162
`
`2163
`
`2165
`
`2166
`
`2167
`
`2168
`
`2169
`
`2174
`
`2175
`
`564025 (TSE0000000982-995)
`
`JP Patent Application 2001-564025
`
`Deposition Transcript of Atushi Kawashima, dated June 17,
`
`2016
`
`Deposition Transcript of Kendyl A. Roman, dated May 3, 2016
`
`Deposition Transcript of Kendyl A. Roman, dated May 5, 2016
`
`Declaration of Richard Friesen
`
`Declaration of Eric Gould-Bear
`
`Declaration of Christopher Thomas, dated June 24, 2016
`
`Declaration of Dan R. Olsen, Jr.
`
`Exhibit TSE1 from Kawashima 2005 Deposition
`
`(TSE0000000996-1016)
`
`2176
`
`Certified Translation of Exhibit TSE1 from Kawashima 2005
`
`Deposition (TSE0000000996-1016)
`
`2177
`
`Harold Abilock Certification of Translation of Exhibit TSE1
`
`from Kawashima 2005 Deposition (TSE0000000996-1016)
`
`
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`- 3 -
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`
`
`Petitioners’ Objections to TT’s Evidence
`CBM2015-00179
`
`TT Exhibit No. Description
`
`2181
`
`2201
`
`2204
`
`2299
`
`Declaration of Peter C. Hart
`
`Thomas Ex. A - Christopher Thomas CV
`
`Thomas Ex. B - Microsoft DNA Case Study
`
`Friesen/Hart Ex. B - PH00001249-1268: The Trading Game -
`
`Descriptive Basis for Software Specifications
`
`2300
`
`Friesen/Hart Ex. C - RF0006028: Email from Kirk Knight to
`
`Rich Friesen et al. (January 7, 1998)
`
`2301
`
`Friesen/Hart Ex. D - PH00000001-20: Trading Game Design
`
`Document (March 5, 1998)
`
`2302
`
`Friesen/Hart Ex. E - PH00000367-374: epit.com Technology
`
`Development Agreement (April 1998)
`
`2303
`
`Friesen/Hart Ex. F - PH00000461-553: ePit Design and
`
`Technical Specification (June 26, 1998)
`
`2304
`
`Friesen/Hart Ex. G - RF0007767-7770: Email from Moses Ma
`
`to Rich Friesen et al. (July 2, 1998)
`
`2305
`
`Friesen/Hart Ex. H - RF0007829: Email from Moses Ma to Rich
`
`Friesen et al. (July 6, 1998)
`
`
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`- 4 -
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`
`
`Petitioners’ Objections to TT’s Evidence
`CBM2015-00179
`
`TT Exhibit No. Description
`
`2306
`
`Friesen/Hart Ex. I - RF0007857: Email from Rich Friesen to
`
`Tom Biddulph et al. (Jul 9, 1998)
`
`2307
`
`Friesen/Hart Ex. J - RF0007872-7876: Email from Rich Friesen
`
`to Peter Hart et al. (July 12, 1998)
`
`2308
`
`Friesen/Hart Ex. K - RF0007926-7927: Email from Rich Friesen
`
`to Jeffrey Schneider etal. (August 6, 1998)
`
`2309
`
`Friesen/Hart Ex. L - RF0008012-8013: Email from Rich Friesen
`
`to Jeff Schneider and Peter Hart (August 27, 1998)
`
`2310
`
`Friesen/Hart Ex. M - RF0008020: Email from Rich Friesen to
`
`Tom Biddulph et al. (August 28, 1998)
`
`2311
`
`Friesen/Hart Ex. N - RF0008021-8022: Email from Rich Friesen
`
`to Barry Hank et al. (August 31, 1998)
`
`2312
`
`Friesen/Hart Ex. O - RF0008080: Email from Tom Biddulph to
`
`Peter Hart et al. (Sept. 26, 1998)
`
`2313
`
`Friesen/Hart Ex. P -RF0008101: Email from Tom Biddulph to
`
`Rich Friesen (October 8, 1998)
`
`2314
`
`Friesen/Hart Ex. Q - RF0008346: Email from Rich Friesen to
`
`Jeffrey Schneider (October 12, 1998)
`
`
`
`- 5 -
`
`
`
`Petitioners’ Objections to TT’s Evidence
`CBM2015-00179
`
`TT Exhibit No. Description
`
`2315
`
`Friesen/Hart Ex. R - RF0008348: Email from Tom Biddulph to
`
`Rich Friesen et al. (October 13, 1998)
`
`
`
`2316
`
`Friesen/Hart Ex. S - RF0008729: Email from Tom Biddulph to
`
`Peter Hart et al. (October 20, 1998)
`
`2317
`
`Friesen/Hart Ex. T - PH00001393-1396: ePIT Trading Board,
`
`Alternative Design Specification
`
`2318
`
`Friesen/Hart Ex. U - RF0008734-8735: Email from Peter Hart to
`
`Tom Biddulph (October 20, 1998)
`
`2319
`
`Friesen/Hart Ex. V - RF0008736-8738: Email from Jeffrey
`
`Schneider to Peter Hart (October 20, 1998)
`
`2320
`
`Friesen/Hart Ex. W - RF0008766: Email from Tom Biddulph to
`
`Peter Hart et al. (October 23, 1998)
`
`2321
`
`Friesen/Hart Ex. X - RF0008770 : Email to Tom Biddulph
`
`(October 23, 1998)
`
`2322
`
`Friesen/Hart Ex. Y - RF0008809-8810: Email to Tom Biddulph
`
`(Novmeber 20, 1998)
`
`2323
`
`Friesen/Hart Ex. Z - RF0008926: Email to Tom Biddulph et al.
`
`(November 24, 1998)
`
`
`
`- 6 -
`
`
`
`Petitioners’ Objections to TT’s Evidence
`CBM2015-00179
`
`TT Exhibit No. Description
`
`2324
`
`Friesen/Hart Ex. AA - RF0009144: Email to Peter Hart et al.
`
`(December 16, 1998)
`
`2325
`
`Friesen/Hart Ex. BB - RF0009145-9146: Trading Contest Notes
`
`(December 16, 1998)
`
`2326
`
`Friesen/Hart Ex. CC - RF0041686-41687: ePit Newsletter email
`
`(December 23, 1998)
`
`2327
`
`Friesen/Hart Ex. DD - Deposition Transcript of Thomas
`
`Biddulph, (November 15, 2011) (excerpt)
`
`2328
`
`Friesen/Hart Ex. EE - RF0033245-33246: email from Rich
`
`Friesen to Peter Hart (December 11, 1998)
`
`2329
`
`Friesen/Hart Ex. FF - RF0001809: email regarding ePit
`
`Newsletter (March 5, 1999)
`
`Petitioners ask the Patent Trial and Appeal Board to deny the admission and
`
`consideration of the following documents on the following bases:
`
`I. FRE ARTICLE IV – RELEVANCE AND ITS LIMITS
`
`Petitioners object to Exhibit Nos. 2116, 2121, 2124, 2125, 2159, 2160, 2161,
`
`2162, 2165, 2166, 2168, 2174, 2175, 2176, 2177, 2204, 2299, 2300, 2301, 2302,
`
`2303, 2304, 2305, 2306, 2307, 2308, 2309, 2310, 2311, 2312, 2313, 2314, 2315,
`
`2316, 2317, 2318, 2319, 2320, 2321, 2322, 2323, 2324, 2325, 2326, 2327, 2328,
`
`
`
`- 7 -
`
`
`
`Petitioners’ Objections to TT’s Evidence
`CBM2015-00179
`and 2329 as irrelevant under FRE 401 and thus inadmissible under FRE 402, or as
`
`confusing or a waste of time under FRE 403, because cited portions are not
`
`relevant to any issue remaining in this proceeding, such as patentability of the
`
`subject matter, broadest reasonable interpretation of the claims, anticipation of the
`
`claims in view of the prior art, or obviousness of the claims in view of the prior art.
`
`II. FRE ARTICLE VI – WITNESSES
`
`Petitioners object to Exhibit No. 2327 for lack of foundation. Patent Owner
`
`has not shown that the declarant has personal knowledge of the subject matter of
`
`the testimony as required by FRE 602.
`
`III. FRE ARTICLE VIII – HEARSAY
`
`To the extent Patent Owner relies on the contents of Exhibit Nos. 2116,
`
`2121, 2124, 2159, 2160, 2166, 2175, 2176, 2204, 2299, 2300, 2301, 2302, 2303,
`
`2304, 2305, 2306, 2307, 2308, 2309, 2310, 2311, 2312, 2313, 2314, 2315, 2316,
`
`2317, 2318, 2319, 2320, 2321, 2322, 2323, 2324, 2325, 2326, 2327, 2328, and
`
`2329 for the truth of the matter asserted, Petitioners object to such contents as
`
`inadmissible hearsay under FRE 801 and 802 that does not fall under any
`
`exceptions, including those of FRE 803, 804, 805 or 807.
`
`IV. FRE ARTICLE IX – AUTHENTICATION AND IDENTIFICATION
`
`Petitioners object to Exhibit Nos. 2121, 2124, 2159, 2160, 2204, 2299, 2300,
`
`2301, 2302, 2303, 2304, 2305, 2306, 2307, 2308, 2309, 2310, 2311, 2312, 2314,
`
`
`
`- 8 -
`
`
`
`Petitioners’ Objections to TT’s Evidence
`CBM2015-00179
`2315, 2316, 2317, 2318, 2319, 2320, 2321, 2322, 2323, 2324, 2325, 2326, 2327,
`
`2328, and 2329 as not properly authenticated under FRE 901 because Patent
`
`Owner has not presented any evidence that these documents are authentic nor that
`
`the documents are self-authenticating under FRE 902.
`
`V. FRE ARTICLE X – CONTENTS OF WRITINGS, RECORDINGS,
`AND PHOTOGRAPHS
`
`To the extent Patent Owner relies on the contents of Exhibit Nos. 2125,
`
`2299, 2301, 2303, 2317, 2325, and 2327 to prove the content of the original
`
`document, Petitioners object to these documents as not being original documents
`
`under FRE 1002, authentic duplicates under FRE 1003, nor documents that fall
`
`under any exceptions to the original-document requirement, including those of
`
`FRE 1004.
`
`VI. CITING EXHBITS NOT SERVED
`
`Petitioners object to Exhibit Nos. 2159, 2160, 2161, and 2327 as citing
`
`exhibits not served with the document as required by 37 C.F.R. § 42.51(b)(1)(i).
`
`
`
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`- 9 -
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`
`
`Petitioners’ Objections to TT’s Evidence
`CBM2015-00179
`These objections are made within five business days from the June 26, 2016
`
`filing and service of TT’s exhibits.
`
`
`
`Date: 7/1/2016
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`/Richard M. Bemben #68658/
`
`
`Robert E. Sokohl, Reg. No. 36,013
`Lori A. Gordon, Reg. No. 50,633
`Richard M. Bemben, Reg. No. 68,658
`Attorneys for Petitioners
`
`
`
`
`
`
`
`- 10 -
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`
`
`Petitioners’ Objections to TT’s Evidence
`CBM2015-00179
`
`CERTIFICATION OF SERVICE
`
`The undersigned hereby certifies that on July 1, 2016, the attached
`
`Petitioners’ Objections to Patent Owner’s Evidence Pursuant to 37 C.F.R.
`
`§ 42.64(b)(1) were served electronically via e-mail upon the following counsel for
`
`Patent Owner, TT:
`
`erika.arner@finnegan.com
`Erika H. Arner, Reg. No. 57,540
`joshua.goldberg@finnegan.com
`Joshua L. Goldberg, Reg. No. 59,369
`kevin.rodkey@finnegan.com
`Kevin D. Rodkey, Reg. No. 65,506
`rachel.emsley@finnegan.com
`Rachel L. Emsley, Reg. No. 63,558
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER, LLP
`Trading-Tech-CBM@finnegan.com
`
`Steven F. Borsand
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`tt-patent-cbm@tradingtechnologies.com
`
`
`gannon@mbhb.com
`Michael D. Gannon
`sigmond@mbhb.com
`Leif R. Sigmond, Jr.
`MCDONNELL BOEHNEN HULBERT & BERGHOFF LLP
`
`
`
`
`
`
`Date: 7/1/2016
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`2829587_3.DOCX
`
`
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`/Richard M. Bemben #68658/
`
`
`Robert E. Sokohl, Reg. No. 36,013
`Lori A. Gordon, Reg. No. 50,633
`Richard M. Bemben, Reg. No. 68,658
`Attorneys for Petitioners
`
`
`
`- 11 -
`
`
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