` Filed: March 9, 2016
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`__________________
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`IBG LLC and INTERACTIVE BROKERS LLC;
`
`Petitioners
`v.
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`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
`Patent Owner
`_________________
`Case CBM2016-00035
`U.S. Patent 6,766,304
`_________________
`
`PATENT OWNER’S MANDATORY NOTICES
` PURSUANT TO 37 C.F.R. § 42.8
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`Pursuant to 37 C.F.R. § 42.8(a)(2), Patent Owner Trading Technologies
`
`International, Inc. (“Trading Technologies”) hereby submits the following
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`mandatory notices in connection with this proceeding.
`
`I.
`
`TRADING TECHNOLOGIES’ POWER OF ATTORNEY
`
`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.
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` TRADING TECHNOLOGIES’ MANDATORY NOTICES
`A.
`The real party-in-interest for the Patent Owner is Trading Technologies
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`37 C.F.R. § 42.8(b)(1): Real Party-in-Interest
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`International, Inc.
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`37 C.F.R. § 42.8(b)(2): Related Matters*
`B.
`Trading Technologies identifies the following pending judicial matters that
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`would affect, or be affected by, a decision in this proceeding:
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`Trading Techs. Int’l, Inc. v. Tradestation Sec., Inc., Case No. 1:10-cv-00884
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`(N.D. Ill.) (consolidated with 1:10-cv-00715 (N.D. Ill));
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`
`* To ensure completeness, Patent Owner has listed all proceedings relating to U.S.
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`Patent Nos. 7,685,055; 6,772,132; 7,533,056; 7,676,411; 7,783,556; 7,212,999;
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`7,813,996 and 6,766,304, which have been asserted together in judicial
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`proceedings, and are subject to administrative proceedings at the USPTO.
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`1
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`Trading Techs. Int’l, Inc. v. IBG LLC, Case No. 1:10-cv-00721 (N.D. Ill.)
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`(consolidated with 1:10-cv-00715 (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.) (consolidated with 1:10-cv-00715 (N.D. Ill));
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`Trading Techs. Int’l, Inc. v. GL Consultants, Inc., Case No. 1:05-cv-04120
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`(N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. SunGard Data, Case No. 15-1767 (Fed. Cir.);
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`Trading Techs. Int’l v. FuturePath Trading LLC, Case No. 15-1768 (Fed.
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`Cir.) (consolidated with Case No. 15-1767);
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`Trading Techs. Int’l, Inc. v. CQG, Inc., Case No. 16-1616 (Fed. Cir.);
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`In re Trading Techs. Int’l, Inc., Case No. 16-120 (Fed. Cir.).
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`
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`Trading Technologies identifies the following settled, terminated, or
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`completed judicial matters related to this patent:
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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. CQG, Inc., Case No. 1:05-cv-04811 (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. Sungard Data Sys., Inc., Case No. 1:10-cv-
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`00716 (N.D. Ill.);
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`2
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`Trading Techs. Int’l, Inc. v. thinkorswim Grp., Inc., Case No. 1:10-cv-00883
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`(N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Open E Cry, LLC, Case No. 1:10-cv-00885
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`(N.D. Ill.);
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`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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`Trading Techs. Int’l, Inc. v. Rosenthal Collins Grp., LLC, Case No. 1:10-cv-
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`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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`3
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`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-04357
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`(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-cv-
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`04332 (N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Peregrine Fin. Grp., Inc., Case No. 1:05-cv-
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`04137 (N.D. Ill.);
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`Rosenthal Collins Grp., LLC vs. Trading Techs. Int’l, Inc., Case No. 1:05-
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`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-02984
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`(N.D. Ill.);
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`Trading Techs. Int’l, Inc. v. Man Grp. PLC, Case No. 1:05-cv-02164 (N.D.
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`Ill.);
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`CQGT, LLC v. Trading Techs. Int’l, Inc., Case No. 1:05-cv-01584 (D.
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`Colo.);
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`4
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`Trading Techs. Int’l, Inc. v. Refco Grp., Ltd. LLC, Case No. 1:05-cv-01079
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`(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-06278
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`(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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`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 11-1424 (Fed. Cir.);
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`Trading Techs. Int’l, Inc. v. Open E Cry, LLC, Case No. 12-1583 (Fed. Cir.);
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`Trading Techs. Int’l., Inc. v. CQG, Inc., Case No. 15-1277 (Fed. Cir.);
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`Trading Techs. Int’l., Inc. v. Open E Cry, LLC, Case No. 15-1547 (Fed.
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`Cir.).
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`
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`Trading Technologies identifies the following administrative matters related
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`to this patent:
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`Reexamination Control No. 90/008,576 (U.S. Patent No. 6,772,132) (reexam
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`certificate issued);
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`Reexamination Control No. 90/008,577 (U.S. Patent No. 6,766,304) (reexam
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`certificate issued);
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`5
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`Reexamination Control No. 90/011,250 (U.S. Patent No. 6,772,132) (reexam
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`denied);
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`Reexamination Control No. 90/013,578 (U.S. Patent No. 7,533,056)
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`(pending);
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`Reexamination Control No. 90/013,624 (U.S. Patent No. 7,685,055)
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`(pending);
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`CBM2014-00131 (U.S. Patent No. 7,553,056) (terminated);
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`CBM2014-00133 (U.S. Patent No. 7,676,411) (terminated);
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`CBM2014-00135 (U.S. Patent No. 6,772,132) (terminated);
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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) (terminated);
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`CBM2015-00057 (U.S. Patent No. 6,766,304) (not instituted);
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`CBM2015-00058 (U.S. Patent No. 6,772,132) (not instituted);
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`CBM2015-00161 (U.S. Patent No. 6,766,304) (pending)
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`CBM2015-00172 (U.S. Patent No. 7,783,556) (pending)
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`CBM2015-00179 (U.S. Patent No. 7,533,056) (pending)
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`CBM2015-00181 (U.S. Patent No. 7,676,411) (pending)
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`CBM2015-00182 (U.S. Patent No. 6,772,132) (pending)
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`CBM2016-00009 (U.S. Patent No. 7,685,055) (pending)
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`CBM2016-00031 (U.S. Patent No. 7,813,996) (pending)
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`6
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`CBM2016-00032 (U.S. Patent No. 7,212,999) (pending)
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`CBM2016-00040 (U.S. Patent No. 7,783,556) (pending)
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`To the extent that 37 C.F.R. § 42.8(b)(2) applies, Trading Technologies
`
`further identifies the following letters:
`
`Trading Technologies International, Inc.’s Letter To Hon.
`Michelle K. Lee, Under Secretary of Commerce for
`Intellectual Property and Director of the United States
`Patent and Trademark Office, regarding Abuse of
`Covered Business Method Review Process, dated
`August 10, 2015.
`
`Trading Technologies International, Inc.’s Letter To Hon.
`Michelle K. Lee, Under Secretary of Commerce for
`Intellectual Property and Director of the United States
`Patent and Trademark Office, regarding Continued
`Abuse of Post-Grant Review Process, dated October 23,
`2015.
`
`Trading Technologies International, Inc.’s Letter To Hon.
`Michelle K. Lee, Under Secretary of Commerce for
`Intellectual Property and Director of the United States
`Patent and Trademark Office, regarding Continued
`Abuse of Post-Grant Review Process, dated October 30,
`2015.
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`Trading Technologies International, Inc.’s Letter To Hon.
`Michelle K. Lee, Under Secretary of Commerce for
`
`
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`7
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`Intellectual Property and Director of the United States
`Patent and Trademark Office, regarding Continued
`Abuse of Post-Grant Review Process, dated February 5,
`2016.
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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:
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`Opposition to European Patent No. EP1319211; and
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`Submission of Publications, etc., to Japanese Patent Office for Japanese
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`Patent Application No. 2001-564025 (patent issued).
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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
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`Patent Owner designates the following counsel to transact all business in the
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`United States Patent & Trademark Office associated with the above-captioned
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`proceeding.
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`Lead Counsel
`Erika H. Arner
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`Back-Up Counsel
`Joshua L. Goldberg
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`(Reg. No. 57,540)
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`(Reg. No. 59,369)
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`Finnegan, Henderson, Farabow,
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`Finnegan, Henderson, Farabow,
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`8
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`Garrett & Dunner, LLP
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`Garrett & Dunner, LLP
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`11955 Freedom Drive
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`901 New York Avenue, NW
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`Reston, VA 20190
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`Washington, DC 20001-4413
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`Phone: (571)203-2754
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`Phone: (202) 408-6092
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`Fax: (202) 408-4400
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`Fax: (202) 408-4400
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`Email: erika.arner@finnegan.com
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`Email: joshua.goldberg@finnegan.com
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`
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`Kevin D. Rodkey
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`(Reg. No. 65,506)
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`Finnegan, Henderson, Farabow,
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`
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`Garrett & Dunner, LLP
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`3500 Suntrust Plaza
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`303 Peachtree Street N.E.
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`Atlanta, GA 30308-3263
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`Phone: (404) 653-6484
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`Email: kevin.rodkey@finnegan.com
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`
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`Rachel L. Emsley
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`(Reg. No. 63,558)
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`Finnegan, Henderson, Farabow,
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`9
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`Garrett & Dunner, LLP
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`
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`2 Seaport Lane, 6th Floor
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`Boston, MA 02210-2001
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`Phone: (617) 646-1624
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`Email: rachel.emsley@finnegan.com
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`
`
`Steven F. Borsand
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`(Reg. No. 36,752)
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`Trading Technologies International, Inc.
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`222 South Riverside Plaza, Suite 1100
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`Chicago, IL 60606
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`Phone: (312) 476-1018
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`Email: tt-patent-cbm@tradingtechnologies.com
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`
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`Please address all correspondence regarding this proceeding to all lead and
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`back-up counsel. Patent Owner also consents to electronic service by email at the
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`following address: Trading-Tech-CBM@finnegan.com
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`10
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`Dated: March 9, 2016
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`Respectfully submitted,
`
`By: /Rachel L. Emsley/
`Rachel L. Emsley, Back-up Counsel
`Reg. No. 63,558
`
`Counsel for Patent Owner
`Trading Technologies International, Inc.
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`11
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`CERTIFICATE OF SERVICE
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`Case CBM2016-00035
`U.S. Patent 6,766,304
`
`The undersigned hereby certifies that a copy of the foregoing Patent
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`Owner’s Mandatory Notices was served on March 9, 2016, via email directed to
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`counsel of record for the Petitioner at the following:
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`Michael T. Rosato
`mrosato@wsgr.com
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`Matthew A. Argenti
`margenti@wsgr.com
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`Robert E. Sokohl
`rsokohl@skgf.com
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`
`
`Date: March 9, 2016
`
`/Valencia Daniel/
`Valencia Daniel
`Litigation Legal Assistant
`
`Finnegan, Henderson, Farabow, Garrett &
`Dunner, LLP