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`
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`_____________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________________
`
`
`IBG LLC, INTERACTIVE BROKERS LLC,
`TRADESTATION GROUP, INC., and
`TRADESTATION SECURITIES, INC.,
`Petitioners
`
`v.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`____________________
`
`Case CBM2016-00032
`Patent No. 7,212,999
`_____________________
`
`
`
`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
`
`
`
`
`
`CBM2016-00032
`U.S. Patent No. 7,212,999
`IBG LLC, Interactive Brokers LLC, TradeStation Group, Inc., and
`
`TradeStation Securities, Inc. (“Petitioners”) object under 37 C.F.R. § 42.64 to the
`
`admissibility of the following evidence Trading Technologies International, Inc.
`
`(“TT”) submitted before the institution of the trial:
`
`TT Exhibit No. Description
`
`2030
`
`2054
`
`2111
`
`2112
`
`2113
`
`2114
`
`2116
`
`2117
`
`2118
`
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Verdict Form (Oct. 10, 2007)
`
`Submission of Publications, etc., PCT 2004-504652 (Apr. 18,
`2005) (Translation)
`
`U.S. Patent No. 6,766,304 B2
`
`Japanese Patent No. JP5230049 B2
`
`Trading Techs. Int’l. Inc., v. BCG Partners, Inc., Case No. 10-
`cv-715, Dkt. 583, Memorandum Opinion and Order (Mar. 25,
`2015)
`
`Trading Techs. Int’l. Inc., v. BCG Partners, Inc., Case No. 10-
`cv-715, Dkt. 680-1, Letter Request for International Judicial
`Assistance Through Diplomatic Channels on the Taking of
`Evidence Abroad in Civil or Commercial Matters (Mar. 7, 2016)
`
`U.S. Patent No. 6,772,132 B1
`
`Trading Techs. Int’l. Inc., v. Rosenthal Collins Group, LLC et
`al.., Case No. 10-cv-715, Dkt. 686, Notification of Docket Entry
`(Mar. 14, 2016)
`
`Trading Techs. Int’l. Inc., v. Rosenthal Collins Group, LLC et
`al.., Case No. 10-cv-715, Dkt. 767, Notification of Docket Entry
`(May 12, 2016)
`
`
`
`- 1 -
`
`
`
`TT Exhibit No. Description
`
`CBM2016-00032
`U.S. Patent No. 7,212,999
`
`2121
`
`2123
`
`2124
`
`2125
`
`2126
`
`2127
`
`2133
`
`Class 705, Data Processing: Financial, Business Practice,
`Management, or Cost/Price Determination, Classification
`Definitions (January 2012 ): 1-53
`
`Class 345, Computer Graphics Processing and Selective Visual
`Display Systems, Classification Definitions (January 2011 ): 1-
`50
`
`Class 345, Computer Graphics Processing and Selective Visual
`Display Systems, (January 2011 ): 1-8
`
`July 2015 Update Appendix 1: Examples, USPTO Examination
`Guidelines
`
`Senate Congressional Record, S5402-S5443 (Sept. 8, 2011)
`
`Senate Congressional Record, S1360-S1394 (Mar. 8, 2011)
`
`McGraw Hill "Dictionary of Scientific and Technical Terms,"
`Fifth Edition (1994): Definition of “Recording”
`
`Petitioners ask the Patent Trial and Appeal Board to deny the admission and
`
`consideration of the following documents on the following bases:
`
`FRE ARTICLE IV – RELEVANCE AND ITS LIMITS
`
`Petitioners object to Exhibit Nos. 2030, 2054, 2111, 2112, 2113, 2114, 2116,
`
`2117, 2118, 2121, 2123, 2124, 2125, 2126, 2127, and 2133 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, or obviousness of the claims in view of the prior art.
`
`
`
`- 2 -
`
`
`
`CBM2016-00032
`U.S. Patent No. 7,212,999
` Petitioners also object to Exhibit No. 2030 under FRE 403 because the
`
`prejudicial value far outweighs any probative value.
`
`FRE ARTICLE VIII – HEARSAY
`
`To the extent Patent Owner relies on the contents of Exhibit Nos. 2030,
`
`2054, 2113, 2114, 2117, 2118, 2121, 2123, 2124, 2125, 2126, 2127, and 2133 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.
`
`FRE ARTICLE IX – AUTHENTICATION AND IDENTIFICATION
`
`Petitioners object to Exhibit Nos. 2030, 2054, 2123, 2124, and 2133 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.
`
`CITING EXHBITS NOT SERVED
`
`Petitioners object to Exhibit No. 2054 as citing exhibits not served with the
`
`document as required by 37 C.F.R. § 42.51(b)(1)(i).
`
`
`
`
`
`
`
`
`
`
`
`- 3 -
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`
`
`
`
`CBM2016-00032
`U.S. Patent No. 7,212,999
`
`* * *
`
`These objections are made within ten business days from the August 16,
`
`2016 Institution Decision.
`
`
`
`Date: 8/30/2016
`
`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/
`
`
`Robert E. Sokohl, Reg. No. 36,013
`Lori A. Gordon, Reg. No. 50,633
`Richard M. Bemben, Reg. No. 68,658
`Attorneys for Petitioners
`
`
`
`
`
`- 4 -
`
`
`
`CBM2016-00032
`U.S. Patent No. 7,212,999
`CERTIFICATION OF SERVICE
`
`The undersigned hereby certifies that on August 30, 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:
`
`Erika H. Arner, Joshua L. Goldberg, Kevin D. Rodkey,
`Rachel L. Emsley
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER, LLP
`Erika.arner@finnegan.com
`Joshua.goldberg@finnegan.com
`Kevin.rodkey@finnegan.com
`Rachel.emsley@finnegan.com
`Trading-Tech-CBM@finnegan.com
`
`Steven F. Borsand
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`tt-patent-cbm@tradingtechnologies.com
`
`Michael D. Gannon, Leif R. Sigmond, Jr.
`MCDONNELL BOEHNEN HULBERT & BERGHOFF LLP
`gannon@mbhb.com
`sigmond@mbhb.com
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`/Richard M. Bemben/
`
`
`Robert E. Sokohl, Reg. No. 36,013
`Lori A. Gordon, Reg. No. 50,633
`Richard M. Bemben, Reg. No. 68,658
`Attorneys for Petitioners
`
`
`
`
`
`
`Date: 8/30/2016
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`
`
`
`
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