Case: 1:10-cv-00715 Document #: 680-1 Filed: 03/07/16 Page 1 of 8 PageID #:29741
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`UNITED STATES DISTRICT COURT
`NORTHERN DISTRICT OF ILLINOIS
`EASTERN DIVISION
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`Case No. 10 C 715
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`10 C 718, 10 C 721, 10 C 884)
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`Judge Virginia M. Kendall
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`TRADING TECHNOLOGIES
`INTERNATIONAL, INC.
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`Plaintiff,
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`v.
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`BCG PARTNERS, INC.,
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`Defendant.
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`LETTER OF REQUEST FOR INTERNATIONAL JUDICIAL ASSISTANCE
`THROUGH DIPLOMATIC CHANNELS ON THE TAKING OF EVIDENCE
`ABROAD IN CIVIL OR COMMERCIAL MATTERS
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`Request is hereby made by the United States District Court for the Northern District of
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`Illinois, Eastern Division, 219 South Dearborn Street, Chicago, Illinois 60604, United States of
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`America, to the Tokyo District Court for its assistance in obtaining evidence in the custody of
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`Tokyo Stock Exchange, Inc. (“TSE”), located at 2-1 Nihombashi Kabutocho, Chuo-ku, Tokyo
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`103-8224, Japan. This request is made through diplomatic channels under the Reciprocal
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`Judicial Assistance Act in Japan (“Act”).
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`1.
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`In conformity with the Act, the United States District Court for the Northern
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`District of Illinois, Eastern Division, United States of America, presents its compliments to the
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`Tokyo District Court and has the honor of requesting its assistance in obtaining evidence to be
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`used in a civil proceeding now pending before this Court in the above-captioned matter. A trial
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`on this matter has not yet been scheduled, but will likely take place in early 2017.
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`2.
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`The parties to the civil action pending in the United States District Court for the
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`Northern District of Illinois, Eastern Division are as follows:
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`Page 1 of 8
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`TRADING TECH EXHIBIT 2114
`IBG ET AL. v. TRADING TECH
`CBM2016-00032
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`Case: 1:10-cv-00715 Document #: 680-1 Filed: 03/07/16 Page 2 of 8 PageID #:29742
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`a. The plaintiff is Trading Technologies International, Inc. (“TT”). The
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`plaintiff is represented by McDonnell Boehnen Hulbert & Berghoff LLP,
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`300 South Wacker Drive, Chicago, IL 60606.
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`b. The defendants are Interactive Brokers LLC, IBG LLC (collectively,
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`“IBG”), TradeStation Securities, Inc., and TradeStation Group, Inc.
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`(collectively, “TradeStation”). IBG is represented by Wilson Sonsini
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`Goodrich & Rosati, 650 Page Mill Road, Palo Alto, California, 94304.
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`TradeStation is represented by Fish & Richardson, One Houston Center,
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`1221 McKinney, Suite 2800, Houston, TX, 77010.
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`3.
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`The pending lawsuit is a civil proceeding in which TT alleges that IBG and
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`TradeStation have infringed numerous U.S. patents relating to computer software used to
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`electronically trade financial instruments.
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`4.
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`The evidence to be obtained consists of certain documents which are maintained
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`by TSE. These documents are described in Attachment A hereto. The evidence to be obtained
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`also consists of testimony to be given by a representative of TSE with knowledge of the subject
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`matters listed on Attachment A hereto. The testamentary evidence is required to be given on
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`oath or affirmation. The documentary and testamentary evidence is relevant to the pending
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`proceeding and may assist this Court in resolving the dispute presented in the civil action before
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`it.
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`5.
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`Accordingly, it is hereby requested that, in the interest of justice, the Tokyo
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`District Court cause by its usual and proper process for the issuance of such orders to be entered
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`as Japanese law permits requiring TSE to produce certain documents as identified in Attachment
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`A hereto, and to transmit such documents to counsel for IBG and TradeStation for further
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`production in the action at a time and place to be determined by the Tokyo District Court. It is
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`also hereby requested that, in the interest of justice, the Tokyo District Court cause by its usual
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`and proper process for the issuance of such orders to be entered as Japanese law permits
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`requiring TSE to produce a representative with knowledge of the subject matters listed on
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`2
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`Page 2 of 8
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`Case: 1:10-cv-00715 Document #: 680-1 Filed: 03/07/16 Page 3 of 8 PageID #:29743
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`Attachment B hereto, and for such representative to answer questions under oath or affirmation
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`at a testimony at a time and place to be determined by the Tokyo District Court, and that a
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`transcript of the testimony be prepared. If necessary, we will ask the parties to each appoint a
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`Japanese counsel to represent such party at the testimony. It is also requested that you inform
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`this Court of all relevant dates and times determined by you for the production of the
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`aforementioned evidence.
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`6.
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`This Court expresses its appreciation to the Tokyo District Court for its courtesy
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`and assistance in this matter and states that it shall be ready and willing to assist the courts of
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`Japan in a similar manner when required. This Court is also willing to reimburse (through IBG
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`and TradeStation) the appropriate judicial authorities of Japan for any special costs incurred for
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`______________________________________
`Hon. Virginia M. Kendall
`United States District Judge
`Northern District of Illinois, Eastern Division
`Chicago, Illinois, U.S.A.
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`this matter.
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`Dated: _____________________________
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`3
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`Page 3 of 8
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`Case: 1:10-cv-00715 Document #: 680-1 Filed: 03/07/16 Page 4 of 8 PageID #:29744
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`ATTACHMENT A
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`REQUESTS
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`1.
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`Screenshots and/or other documents sufficient to show the screen or graphical
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`user interface of each electronic trading tool used by or on the Tokyo Stock Exchange (“TSE”),
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`including but not limited to the Futures/Options Trading System, Futures/Options Purchasing
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`System, and Trading Terminal, which displayed or was capable of displaying market data in
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`relation to an axis of prices and/or derivative values, at or prior to each of the following dates:
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`April 1999, June 2000, and March 2004.
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`2.
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`Documents explaining or demonstrating updating
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`functionalities and/or
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`movement functionalities of the price or value axis displays identified in response to Request No.
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`1.
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`3.
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`Screenshots and/or other documents sufficient to identify each electronic trading
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`tool used by or on TSE, including but not limited to the Futures/Options Trading System,
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`Futures/Options Purchasing System, and Trading Terminal, which allowed or was capable of
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`allowing a user to place or execute an order or trade by selecting (through clicking and/or
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`dragging and dropping) a location relative to an axis of prices and/or derivative values, at or
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`prior to each of the following dates: April 1999, June 2000, and March 2004.
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`4.
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`Screenshots and/or other documents sufficient to identify each electronic trading
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`tool used by or on TSE, including but not limited to the Futures/Options Trading System,
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`Futures/Options Purchasing System, and Trading Terminal, which allowed or was capable of
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`allowing a user to place or execute an order or trade with a single click of a mouse, at or prior to
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`each of the following dates: April 1999, June 2000, and March 2004.
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`5.
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`Screenshots and/or other documents sufficient to identify each electronic trading
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`tool used by or on TSE, including but not limited to the Futures/Options Trading System,
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`Futures/Options Purchasing System, and Trading Terminal, which displayed an order icon and/or
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`visual indication of an order or trade placed by the user, at or prior to each of the following dates:
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`April 1999, June 2000, and March 2004.
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`Page 4 of 8
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`Case: 1:10-cv-00715 Document #: 680-1 Filed: 03/07/16 Page 5 of 8 PageID #:29745
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`6.
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`Screenshots and/or other documents sufficient to identify each electronic trading
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`tool used by or on TSE, including but not limited to the Futures/Options Trading System,
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`Futures/Options Purchasing System, and Trading Terminal, which displayed historical trading
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`data on a chart or horizontal time axis, at or prior to each of the following dates: April 1999, June
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`2000, and March 2004.
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`7.
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`Screenshots and/or other documents sufficient to identify each electronic trading
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`tool used by or on TSE, including but not limited to the Futures/Options Trading System,
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`Futures/Options Purchasing System, and Trading Terminal, which allowed or was capable of
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`allowing users to place orders with a default or previously established quantity, at or prior to
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`each of the following dates: April 1999, June 2000, and March 2004.
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`8.
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`Screenshots and/or other documents sufficient to identify each electronic trading
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`tool used by or on TSE, including but not limited to the Futures/Options Trading System,
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`Futures/Options Purchasing System, and Trading Terminal, which displayed profit and loss
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`associated with positions along a price or value axis, at or prior to each of the following dates:
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`April 1999, June 2000, and March 2004.
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`9.
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`Screenshots and/or other documents sufficient to identify each electronic trading
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`tool used by or on TSE, including but not limited to the Futures/Options Trading System,
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`Futures/Options Purchasing System, and Trading Terminal, which allowed or was capable of
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`allowing users to modify or cancel orders, including modification and/or cancellation with
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`dragging and dropping and/or a single click of a mouse, at or prior to each of the following dates:
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`April 1999, June 2000, and March 2004.
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`10.
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`Documents sufficient to show the dates when each electronic trading tool
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`responsive to Request Nos. 1-9 was developed by TSE or used in any way by or on TSE,
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`including the dates when each of the features or functionalities discussed in Request Nos. 1-9
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`was developed.
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`2
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`Page 5 of 8
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`Case: 1:10-cv-00715 Document #: 680-1 Filed: 03/07/16 Page 6 of 8 PageID #:29746
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`11.
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`User manuals sufficient to describe or explain the operation of each electronic
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`trading tool responsive to Request Nos. 1-9, at or prior to each of the following dates: April
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`1999, June 2000, and March 2004.
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`12.
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`Documents describing the public dissemination, knowledge, testing, offer for sale,
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`sale, use, display, demonstration, availability, and disclosure of each version of each electronic
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`trading tool responsive to Request Nos. 1-9 and each document responsive to Request No. 11,
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`including but not limited to the identities of persons or entities using each electronic trading tool
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`responsive to Request Nos. 1-9, at or prior to each of the following dates: April 1999, June 2000,
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`and March 2004.
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`13.
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`Documents listing persons or entities in the United States known or believed to
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`have used one or more of the electronic trading tools responsive to Request Nos. 1-9, at or prior
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`to each of the following dates: April 1999, June 2000, and March 2004.
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`3
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`Page 6 of 8
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`Case: 1:10-cv-00715 Document #: 680-1 Filed: 03/07/16 Page 7 of 8 PageID #:29747
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`ATTACHMENT B
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`REQUEST
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`It is requested that Tokyo Stock Exchange, Inc. (“TSE”) produce an appropriate
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`representative (officer or employee) with knowledge of the following subject matters:
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`1.
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`The structure, function, design, development, performance, and operation of
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`each version of each electronic trading tool used by or on TSE, including but not limited to the
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`following features and functionalities: price or value axis; historical trading data; display of;
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`historical data; drag-and-drop or click-based ordering; order cancellation, and modification;
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`display of profit and loss or derivative values along price axis; display of order icon or
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`indicator; and ordering with a default quantity, at or prior to each of the following dates: April
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`1999, June 2000, and March 2004.
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`2.
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`The differences, if any, between features and functionalities of each electronic
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`trading tool used by or on TSE in April 1999, June 2000, and March 2004, including but not
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`limited to the following features and functionalities: price or value axis; historical trading data;
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`display of; historical data; drag-and-drop or click-based ordering; order cancellation, and
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`modification; display of profit and loss or derivative values along price axis; display of order
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`icon or indicator; and ordering with a default quantity, at or prior to each of the following dates:
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`April 1999, June 2000, and March 2004.
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`3.
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`The first date of manufacture, testing, product sampling, offer for sale, sale,
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`public use, public display, public demonstration, public availability, and public disclosure of
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`each version of each electronic trading tool used by or on TSE at or prior to each of the
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`following dates: April 1999, June 2000, and March 2004.
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`4.
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`The source code, executable code, or any other electronic design files for each
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`version of each electronic trading tool used by or on TSE at or prior to each of the following
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`dates: April 1999, June 2000, and March 2004.
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`4
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`Page 7 of 8
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`Case: 1:10-cv-00715 Document #: 680-1 Filed: 03/07/16 Page 8 of 8 PageID #:29748
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`5.
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`All materials distributed to users concerning each version of each electronic
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`trading tool used by or on TSE at or prior to each of the following dates: April 1999, June
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`2000, and March 2004.
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`6.
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`The identity of persons or entities known or believed to have used an electronic
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`trading tool provided by or on TSE at or prior to each of the following dates: April 1999, June
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`2000, and March 2004.
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`7.
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`The identity of the person most knowledgeable regarding each electronic trading
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`tool used by or on TSE at or prior to each of the following dates: April 1999, June 2000, and
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`March 2004.
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`8.
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`Documents produced in response to the foregoing Request Nos. 1-13 of
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`Attachment A, including their source, availability (specifically including dates of availability),
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`authenticity, author(s), and the circumstances under which they were created.
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`5
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`Page 8 of 8