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` U N I T E D S T A T E S P A T E N T A N D T R A D E M A R K O F F I C E
` - - -
` B E F O R E T H E P A T E N T T R I A L A N D A P P E A L B O A R D
` - - -
` I B G L L C , I N T E R A C T I V E B R O K E R S L L C ,
` T R A D E S T A T I O N G R O U P , I N C . ,
` T R A D E S T A T I O N S E C U R I T I E S , I N C . ,
` T R A D E S T A T I O N T E C H N O L O G I E S , I N C . ,
` a n d
` I B F X , I N C .
` P e t i t i o n e r
` V .
` T R A D I N G T E C H N O L O G I E S I N T E R N A T I O N A L , I N C .
` P a t e n t O w n e r
`
` C A S E C B M 2 0 1 5 - 0 0 1 7 9
` U . S . P a t e n t 7 , 5 3 3 , 0 5 6
` C A S E C B M 2 0 1 5 - 0 0 1 8 1
` U . S . P a t e n t 7 , 6 7 6 , 4 1 1 B 2
`
` C A S E C B M 2 0 1 5 - 0 0 1 8 2
` U . S . P a t e n t 6 , 7 7 2 , 1 3 2 B 1
` - - -
` J u n e 1 4 , 2 0 1 6
` - - -
` C o n f e r e n c e c a l l , b e g i n n i n g a t
`4 : 0 0 p . m . , b e f o r e L I N D A R O S S I R I O S , a
`F e d e r a l l y A p p r o v e d R P R , C C R a n d N o t a r y
`P u b l i c .
` - - -
` V e r i t e x t L e g a l S o l u t i o n s
` M i d - A t l a n t i c R e g i o n
` 1 2 5 0 E y e S t r e e t N W - S u i t e 3 5 0
` W a s h i n g t o n , D . C . 2 0 0 0 5
`
`Veritext Legal Solutions
`215-241-1000 ~ 610-434-8588 ~ 302-571-0510 ~ 202-803-8830
`
`TRADING TECH EXHIBIT 2141
`IBG ET AL. v. TRADING TECH
`CBM2015-00181
`
`Page 1 of 13
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`

`
`B E F O R E:
`SALLY C. MEDLEY, Administrative Patent Judge
`MEREDITH C. PETRAVICK, Administrative Patent Judge
`JEREMY M. PLENZLER, Administrative Patent Judge
`
`Page 2
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`A P P E A R A N C E S :
`
` On Behalf of Petitioner
`
` STERNE, KESSLER, GOLDSTEIN & FOX
` BY: LORI A. GORDON, ESQUIRE
` 1100 New York Ave. NW Suite 600
` Washington, DC 20005
` 202.772.8862
` lgordon-PTAB@skgf.com
`
` On Behalf of Patent Owner
`
` FINNEGAN, HENDERSON, FARABOW, GARRETT
` & DUNNER, LLP
` KEVIN D. RODKEY, ESQUIRE
` 271 17th Street, NW
` Suite 1400
` Atlanta, GA 30363-6209
` 404-653-6400
` kevin@rodkey@finnegan.com
` and
` RACHEL L. EMSLEY, ESQUIRE
` Two Seaport Lane
` Boston, MA 02210-2001
` 617-646-1600
` rachel.emsley@finnegan.com
`
`Veritext Legal Solutions
`215-241-1000 ~ 610-434-8588 ~ 302-571-0510 ~ 202-803-8830
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` - - -
`
` J U D G E P L E N Z L E R : G o o d a f t e r n o o n .
`
`T h i s i s J u d g e P l e n z l e r o f t h e P T A B A p p e a l
`
`C o u r t . T h i s i s a c o n f e r e n c e c a l l f o r
`
`C B M 2 0 1 5 - 0 0 1 7 9 , 1 8 1 a n d 1 8 2 . I ' m j o i n e d o n
`
`t h e c a l l b y J u d g e s M e d l e y a n d P e t r a v i c k . D o
`
`w e h a v e s o m e o n e o n t h e l i n e f o r p e t i t i o n e r ?
`
` M S . G O R D O N : T h i s i s L o r i G o r d o n
`
`f r o m S t e r n e K e s s l e r f o r p e t i t i o n e r ,
`
`T r a d e s t a t i o n .
`
` J U D G E P L E N Z L E R : A n y o n e e l s e f o r
`
`p e t i t i o n e r ?
`
` M S . G O R D O N : I t h i n k I w i l l b e
`
`t h e o n l y o n e t o d a y .
`
` J U D G E P L E N Z L E R : H o w a b o u t
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`p a t e n t o w n e r ?
`
` M R . R O D K E Y : G o o d a f t e r n o o n ,
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`Y o u r H o n o r . T h i s i s K e v i n R o d k e y f o r p a t e n t
`
`o w n e r , T r a d i n g T e c h n o l o g i e s . W i t h m e i s
`
`R a c h e l E m s l e y .
`
` J U D G E P L E N Z L E R : I s t h e r e a
`
`c o u r t r e p o r t e r ?
`
` C O U R T R E P O R T E R : Y e s , m y n a m e
`
`i s L i n d a R o s s i .
`
` J U D G E P L E N Z L E R : P a t e n t o w n e r ,
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`Veritext Legal Solutions
`215-241-1000 ~ 610-434-8588 ~ 302-571-0510 ~ 202-803-8830
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`d i d y o u r e q u e s t t h e c o u r t r e p o r t e r ?
`
` M R . R O D K E Y : Y e s , w e d i d , a n d
`
`w e w i l l f i l e t h e t r a n s c r i p t o f t h i s c a l l .
`
` J U D G E P L E N Z L E R : T h a n k y o u .
`
` I u n d e r s t a n d p a t e n t o w n e r
`
`r e q u e s t e d t h e c a l l a n d t h i s i s i n v i e w o f t h e
`
`u p c o m i n g d e p o s i t i o n o f M r . K a w a s h i m a .
`
`B a s i c a l l y i t ' s w i t h r e g a r d t o y o u r r e q u e s t t o
`
`v i d e o t a p e t h e d e p o s i t i o n . I j u s t h a v e a n
`
`i n i t i a l q u e s t i o n f i r s t . I u n d e r s t a n d t h e
`
`p a r t i e s h a v e m e t f o r t r y i n g t o c o m e t o s o m e
`
`s o r t o f a g r e e m e n t o n v i d e o . H a v e t h e p a r t i e s
`
`d i s c u s s e d t h e p o s s i b i l i t y o f s i m p l y h a v i n g
`
`a u d i o r e c o r d i n g o f t h e d e p o s i t i o n ?
`
` P a t e n t o w n e r , c a n y o u , p l e a s e ,
`
`a d d r e s s t h a t f i r s t ?
`
` M R . R O D K E Y : N o , Y o u r H o n o r ,
`
`t h e p a r t i e s h a v e n o t d i s c u s s e d t h a t . O u r
`
`p o s i t i o n i s t h a t w e t h i n k i n o r d e r t o a s s e s s
`
`t h e c r e d i b i l i t y o f t h e q u e s t i o n s a n d t o
`
`d e t e r m i n e i f t h e r e a r e c o n f l i c t i n g
`
`i n t e r p r e t a t i o n s o f t h e q u e s t i o n s a n d a n s w e r s ,
`
`s e e i n g t h e w i t n e s s ' r e a c t i o n i s g o i n g t o b e
`
`h e l p f u l a n d i n d i c a t e t h a t t h e w i t n e s s
`
`u n d e r s t a n d s a c e r t a i n t r a n s l a t i o n o r
`
`Veritext Legal Solutions
`215-241-1000 ~ 610-434-8588 ~ 302-571-0510 ~ 202-803-8830
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`i n t e r p r e t a t i o n b e t t e r t h a n a n o t h e r .
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` J U D G E P L E N Z L E R : L e t m e s t o p
`
`y o u . M y u n d e r s t a n d i n g p r e v i o u s l y w h e n w e h a d
`
`t h e c a l l e a r l i e r t h i s w e e k w a s t h a t y o u w e r e
`
`m o r e c o n c e r n e d w i t h j u s t h a v i n g a d e p o s i t i o n
`
`t r a n s c r i p t t h a t w a s E n g l i s h l a n g u a g e o n l y a n d
`
`n o t c a p t u r i n g t h e J a p a n e s e l a n g u a g e r e s p o n s e
`
`f r o m M r . K a w a s h i m a . I s t h a t i n c o r r e c t ?
`
` M R . R O D K E Y : T h a t i s o n e o f o u r
`
`c o n c e r n s , t h a t w i t h o u t h a v i n g t h e J a p a n e s e
`
`y o u c a n ' t m a k e a n a s s e s s m e n t a s t o w h i c h o f
`
`t h e t r a n s l a t i o n s i s c o r r e c t b e c a u s e t h e c o u r t
`
`r e p o r t e r w i l l n o t c a p t u r e t h e l a n g u a g e i n t h e
`
`t r a n s c r i p t . B u t t h e w i t n e s s ' r e s p o n s e t o t h e
`
`i n t e r p r e t a t i o n a n d t h e w i t n e s s ' r e s p o n s e t o
`
`t h e v a r i o u s q u e s t i o n s w e b e l i e v e w i l l b e
`
`h e l p f u l i n m a k i n g t h e a s s e s s m e n t i f t h e r e i s
`
`a d i f f e r e n c e i n i n t e r p r e t a t i o n . A n d t h a t
`
`c a n ' t b e c a p t u r e d s o l e l y b y a u d i o .
`
` J U D G E P L E N Z L E R : L e t m e h e a r
`
`f r o m M s . G o r d o n . W o u l d y o u b e o p p o s e d t o
`
`a u d i o ?
`
` M S . G O R D O N : W e w o u l d n o t b e
`
`o p p o s e d t o a u d i o . T h a t w o u l d b e u n i n t r u s i v e
`
`f o r t h e w i t n e s s . I c a n a d d r e s s M r . R o d k e y ' s
`
`Veritext Legal Solutions
`215-241-1000 ~ 610-434-8588 ~ 302-571-0510 ~ 202-803-8830
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`p o i n t i f y o u w o u l d l i k e , Y o u r H o n o r . W e
`
`w o u l d n o t b e o p p o s e d t o a u d i o o n l y .
`
` J U D G E P L E N Z L E R : I f y o u w o u l d
`
`l i k e , y o u c o u l d b r i e f l y a d d r e s s h i s p o i n t s .
`
` M S . G O R D O N : Y o u r H o n o r , I
`
`t h i n k t h e b e n e f i t s o f v i d e o f a r o u t w e i g h t h e
`
`r i s k o f c h i l l i n g t h i s d e p o s i t i o n . W h a t
`
`M r . R o d k e y i s t a l k i n g a b o u t I t h i n k i s
`
`a c c u r a t e l y g u a r d e d a g a i n s t b e c a u s e w e w i l l
`
`h a v e - - t h e y w i l l p r o v i d e a c h e c k t r a n s l a t o r
`
`s o i f t h e r e a r e a n y i s s u e s w i t h t h e
`
`t r a n s l a t o r , t h e y w i l l h a v e a s e c o n d
`
`t r a n s l a t o r t h e r e t o a d d r e s s i t i n r e a l t i m e .
`
`I ' m a s s u m i n g t h a t p a t e n t o w n e r w i l l c o m e w i t h
`
`a t l e a s t t h r e e a t t o r n e y s , p o s s i b l y m o r e , s o
`
`t h e y c a n a s s e s s i n r e a l t i m e a n y f a c i a l
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`e x p r e s s i o n s b y M r . K a w a s h i m a a n d a d d r e s s i t
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`i n r e a l t i m e . T h e u s e o f v i d e o a f t e r t h e f a c t
`
`w h e n t h e w i t n e s s h a s g o n e b a c k t o J a p a n i s
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`r e a l l y o f n o v a l u e t o a d d r e s s M r . R o d k e y ' s
`
`c o n c e r n . A n d o u r f e a r i s t h a t w e h a v e a
`
`t h i r d p a r t y c i v i l i a n w h o i s n o t u s e d t o b e i n g
`
`d e p o s e d , h e i s i n c o n v e n i e n c e d b y a l o n g
`
`t r a v e l t i m e z o n e d e l a y , a n d h a v i n g a n
`
`a d d i t i o n a l v i d e o a n d p a r t y i n t h e r e c o u l d
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`Veritext Legal Solutions
`215-241-1000 ~ 610-434-8588 ~ 302-571-0510 ~ 202-803-8830
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`Page 6 of 13
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`c h i l l h i s t e s t i m o n y .
`
` M R . R O D K E Y : Y o u r H o n o r , i f I
`
`m a y r e s p o n d t o o n e t h i n g t h e r e .
`
` J U D G E P L E N Z L E R : V e r y b r i e f l y
`
`a n d t h e n I w i l l c o n f e r w i t h m y p a n e l .
`
` M R . R O D K E Y : M s . G o r d o n ' s p o i n t
`
`i s t h a t w e w i l l h a v e a c h e c k t r a n s l a t o r .
`
`P a r t o f t h e r e a s o n w e n e e d t h i s i s b e c a u s e i f
`
`t h e r e i s a d i s a g r e e m e n t b e t w e e n t h e
`
`t r a n s l a t o r s , i t ' s t h e b o a r d ' s r e s p o n s i b i l i t y
`
`p e r t h e i r o r d e r t o a s s e s s t h e d i f f e r e n c e .
`
`S i m p l y h a v i n g a c h e c k t r a n s l a t o r i s n o t g o i n g
`
`t o r e s o l v e t h e i s s u e . T h a t ' s a l l I w i l l
`
`r e s p o n d t o h e r w i t h .
`
` J U D G E P L E N Z L E R : I ' m g o i n g t o
`
`p u t t h e p a r t i e s o n h o l d b r i e f l y h e r e a n d
`
`c o n f e r w i t h t h e p a n e l .
`
` - - -
`
` ( A d i s c u s s i o n o f f t h e r e c o r d
`
` o c c u r r e d . )
`
` - - -
`
` J U D G E P L E N Z L E R : T h i s i s J u d g e
`
` P l e n z l e r b a c k o n t h e l i n e . M s .
`
` G o r d o n , a r e y o u s t i l l t h e r e ?
`
` M S . G O R D O N : Y e s , I a m , Y o u r
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`Veritext Legal Solutions
`215-241-1000 ~ 610-434-8588 ~ 302-571-0510 ~ 202-803-8830
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` H o n o r .
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` J U D G E P L E N Z L E R : M r . R o d k e y , a r e
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` y o u s t i l l t h e r e ?
`
` M R . R O D K E Y : Y e s , Y o u r H o n o r .
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` J U D G E P L E N Z L E R : I c o n f e r r e d
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` w i t h m y p a n e l , a n d I t h i n k b a s e d o n
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` t h e c i r c u m s t a n c e s o f t h i s c a s e , t h a t
`
` a n a u d i o r e c o r d i n g w o u l d b e
`
` a p p r o p r i a t e r a t h e r t h a n f u l l v i d e o . I
`
` t h i n k t h a t w i l l c a p t u r e t h e r e c o r d f o r
`
` t h e f o r e i g n l a n g u a g e t e s t i m o n y , w h i c h
`
` s e e m s t o b e t h e m a i n i s s u e h e r e . W e
`
` a r e g o i n g t o a u t h o r i z e , i t s e e m s t h e
`
` p a r t i e s a r e i n a g r e e m e n t , a t l e a s t
`
` p e t i t i o n e r d o e s n o t o p p o s e a u d i o
`
` r e c o r d i n g o f t h e t e s t i m o n y , a n d w e ' l l
`
` i s s u e a n o r d e r t o t h a t e f f e c t s h o r t l y .
`
` O n e t h i n g w e w i l l n o t e i s t h a t
`
` n o t h i n g a s f a r a s t h e a u d i o t e s t i m o n y
`
` w i l l b e f i l e d i n t h e p r o c e e d i n g u n t i l
`
` t h e p a r t i e s f u r t h e r c o n f e r w i t h t h e
`
` b o a r d t o g e t a p p r o v a l f o r t h a t f i l i n g
`
` i f i t i s n e c e s s a r y .
`
` A n y q u e s t i o n s a t t h i s t i m e ?
`
` M S . G O R D O N : N o t h i n g f r o m
`
`Veritext Legal Solutions
`215-241-1000 ~ 610-434-8588 ~ 302-571-0510 ~ 202-803-8830
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` p e t i t i o n e r , Y o u r H o n o r . T h a n k y o u .
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` J U D G E P L E N Z L E R : P a t e n t o w n e r ?
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` M R . R O D K E Y : N o , Y o u r H o n o r .
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` T h a n k y o u .
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` J U D G E P L E N Z L E R : W i t h t h a t , t h i s
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` c a l l i s a d j o u r n e d . T h a n k y o u .
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` M S . G O R D O N : T h a n k y o u ?
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` M R . R O D K E Y : T h a n k y o u .
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` - - -
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` ( C o n f e r e n c e c o n c l u d e d . )
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` - - -
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`Veritext Legal Solutions
`215-241-1000 ~ 610-434-8588 ~ 302-571-0510 ~ 202-803-8830
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`C E R T I F I C A T E
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`Page 10
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`I do hereby certify that
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`I
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`am a Notary
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`Public in good standing,
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`that the aforesaid
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`testimony was taken before me, pursuant
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`to
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`notice, at the time and place indicated;
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`that
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`said deponent was by me duly sworn to tell
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`the truth,
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`the whole truth, and nothing but
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`the truth;
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`that the testimony of said
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`deponent was correctly recorded in machine
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`shorthand by me and thereafter transcribed
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`under my supervision with computer-aided
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`transcription;
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`that the deposition is a true
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`and correct record of the testimony given by
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`the witness; and that
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`I
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`am neither of counsel
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`nor kin to any party in said action, nor
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`interested in the outcome thereof.
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`WITNESS my hand and official seal this
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`14th day of June, 2016.
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`
`
`Linda Rossi—Rios, RPR,
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`Notary Public
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`Assignment: 2332157
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`M
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`[& - going]
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`&
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`0
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`181 3:5
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`2
`20005 1:25 2:10
`2016 1:17 10:12
`202.772.8862 2:11
`2332157 10:17
`271 2:16
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`7
`7,533,056 1:12
`7,676,411 1:13
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`additional 6:25
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`6:4,13,17,20
`adjourned 9:6
`administrative 2:2,3
`2:4
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`aforesaid 10:4
`afternoon 3:2,17
`agreement 4:12 8:14
`aided 10:8
`answers 4:22
`appeal 1:3 3:3
`appropriate 8:9
`approval 8:22
`approved 1:21
`assess 4:19 6:16
`7:11
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`assignment 10:17
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`atlanta 2:17
`atlantic 1:24
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`5:24 6:2 8:8,15,19
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`b
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`b 2:1
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`believe 5:16
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`board 1:3 8:22
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`check 6:10 7:7,12
`chill 7:1
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`circumstances 8:7
`civilian 6:22
`come 4:11 6:14
`computer 10:8
`concern 6:21
`concerned 5:5
`concerns 5:10
`concluded 9:10
`confer 7:5,17 8:21
`conference 1:19 3:4
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