`
`
`
`
`
`
`
`
`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 CBM2016-00051
`U.S. Patent No. 7,904,374
`
`
`___________
`
`
`
`PETITIONERS’ OBJECTIONS TO EVIDENCE
`
`
`
`Proceeding No.: CBM2016-00051
`Attorney Docket: 41919-0013CP1
`IBG LLC, Interactive Brokers LLC, TradeStation Group, Inc., and
`
`TradeStation Securities, Inc. (collectively, “Petitioners”) object under 37 C.F.R. §
`
`42.64 to the admissibility of evidence Trading Technologies International, Inc.
`
`(“TT” or “Patent Owner”) filed and served on November 15, 2016.
`
`
`
`Petitioners ask the Patent Trial and Appeal Board to deny the admission and
`
`consideration of the following documents on the following basis:
`
`1. FRE ARTICLE IV – RELEVANCE AND ITS LIMITS
`
`Petitioners object to Exhibit Nos. 2183, 2185, 2184, 2186, 2188, 2189, 2193,
`
`2194, 2195, 2196, 2197, 2204, 2206, 2207, 2208, 2209, 2210, 2211, 2214, 2215,
`
`2216, 2217, 2218, 2219, 2220, 2221, 2222, 2223, 2226, 2230, 2233, 2234, 2236,
`
`2238, 2250, 2279, 2280, 2281, 2282, 2287, 2292, 2293, 2294, 2295, 2296 and
`
`2297, 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.
`
`2. FRE ARTICLE VI - WITNESSES
`
`Petitioners object to Exhibit Nos. 2169, 2214, 2220, 2287, 2292, 2293, 2295,
`
`and 2296 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.
`
`1
`
`
`
`Proceeding No.: CBM2016-00051
`Attorney Docket: 41919-0013CP1
`Petitioners object to Exhibit No. 2214 as an improper demonstrative. Patent
`
`Owner has not established a proper foundation for the evidence set forth in the
`
`exhibits.
`
`3. FRE ARTICLE VII – OPINIONS AND EXPERT TESTIMONY
`
`Petitioners object to Exhibit Nos. 2168, 2169, 2170, 2171, 2174, 2208, 2210,
`
`2214, 2216, 2218, 2219, 2221, 2223 and 2295 to the extent they offer opinion
`
`under FRE 701-703. The declarant is not qualified to offer expert testimony, the
`
`testimony is not based on sufficient facts or data, and there is no indication that
`
`declarant has the expertise necessary to apply the law to the facts as would be
`
`necessary to opine under FRE 702. Further, there is no indication that the declarant
`
`based those opinions on facts or data upon which an expert in the relevant field
`
`would reasonably rely. FRE 703. Further, testimony at these paragraphs falls
`
`outside acceptable lay opinion testimony under FRE 701. A party may not evade
`
`the expert witness requirements of FRE 702 simply by designating the testimony
`
`as lay testimony under FRE 701.
`
`4. FRE ARTICLE VIII - HEARSAY
`
`To the extent Patent Owner relies on the contents of Exhibit No(s). 2169,
`
`2170, 2171, 2174, 2204, 2206, 2207, 2208, 2209, 2210, 2211, 2214, 2215, 2216,
`
`2217, 2218, 2219, 2220, 2221, 2222, 2223, 2226, 2230, 2233, 2234, 2236, 2238,
`
`2250, 2279, 2280, 2281, 2282, 2287, 2292, 2293, 2294, 2295, 2296, and 2297 for
`
`2
`
`
`
`Proceeding No.: CBM2016-00051
`Attorney Docket: 41919-0013CP1
`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.
`
`5. FRE ARTICLE IX – AUTHENTICATION AND
`IDENTIFICATION
`
`Petitioners object to Exhibit Nos. 2187, 2204, 2206, 2207, 2208, 2209, 2210,
`
`2211, 2214, 2215, 2216, 2217, 2218, 2219, 2220, 2221, 2222, 2223, 2226, 2230,
`
`2233, 2234, 2236, 2238, 2250, 2279, 2280, 2281, 2282, 2287, 2292, 2293, 2294,
`
`2295, 2296, 2297, 2411, 2412, 2413, 2414, 2415, and 2416 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.
`
`6. FRE ARTICLE X – CONTENTS OF WRITINGS, RECORDINGS,
`AND PHOTOGRAPHS
`
`To the extent Patent Owner relies on the contents of Exhibit Nos. 2210, 2214,
`
`2216, 2218, 2219, 2221 and 2223 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.
`
`Petitioners object to Exhibit No. 2214 under FRE 1006 as an improper
`
`summary because Patent Owner has not shown that the contents of the original
`
`3
`
`
`
`Proceeding No.: CBM2016-00051
`Attorney Docket: 41919-0013CP1
`cannot be conveniently examined in court nor made the original or duplicate
`
`available for examination or copying.
`
`CITING EXHBITS NOT SERVED
`
`Petitioners object to Exhibit Nos. 2169, 2208 and 2214 as citing exhibits not
`
`served with the documents as required by 37 C.F.R. § 42.51(b)(1)(i).
`
`These objections are made within five business days from the November 15,
`
`2016 filing and service of TT’s exhibits.
`
`
`
`Dated: November 22, 2016
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Respectfully submitted,
`
`/John C. Phillips/
`John C. Phillips, Reg. No. 35,322
`Fish & Richardson, P.C.
`
`Attorney for Petitioners
`
`4
`
`
`
`Proceeding No.: CBM2016-00051
`Attorney Docket: 41919-0013CP1
`CERTIFICATE OF SERVICE
`
`Pursuant to 37 CFR §§ 42.6(e)(4) and 42.6(e)(4)(iii), the undersigned certifies
`
`that on November 22, 2016, a complete and entire copy of this Petitioners’
`
`Objections to Evidence was provided via electronic service to the Patent Owner, by
`
`serving the correspondence address of record as follows:
`
`Erika H. Arner, Joshua L. Goldberg, Kevin Rodkey,
`Rachel L. Emsley and Cory C. Bell
`Finnegan, Henderson, Farabow, Garrett & Dunner, LLP
`
`Michael D. Gannon, Leif R. Sigmond, Jr., and Jennifer M. Kurcz
`McDonnell, Boehnen, Hulbert & Berghoff LLP
`
`Steven F. Borsand
`Trading Technologies International, Inc.
`
`Email: erika.arner@finnegan.com
`joshua.goldberg@finnegan.com
`kevin.rodkey@finnegan.com
`rachel.emsley@finnegan.com
`cory.bell@finnegan.com
`gannon@mbhb.com
`sigmond@mbhb.com
`kurcz@mbhb.com
`tt-patent-cbm@tradingtechnologies.com
`Trading-Tech-CBM@finnegan.com
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`/Diana Bradley/
`
`Diana Bradley
`Fish & Richardson P.C.
`60 South Sixth Street, Suite 3200
`Minneapolis, MN 55402
`(858) 678-5667
`
`
`
`
`
`
`
`
`
`
`
`
`
`
Accessing this document will incur an additional charge of $.
After purchase, you can access this document again without charge.
Accept $ Charge
Still Working On It
This document is taking longer than usual to download. This can happen if we need to contact the court directly to obtain the document and their servers are running slowly.
Give it another minute or two to complete, and then try the refresh button.
A few More Minutes ... Still Working
It can take up to 5 minutes for us to download a document if the court servers are running slowly.
Thank you for your continued patience.
This document could not be displayed.
We could not find this document within its docket. Please go back to the docket page and check the link. If that does not work, go back to the docket and refresh it to pull the newest information.
Your account does not support viewing this document.
You need a Paid Account to view this document. Click here to change your account type.
Your account does not support viewing this document.
Set your membership
status to view this document.
With a Docket Alarm membership, you'll
get a whole lot more, including:
- Up-to-date information for this case.
- Email alerts whenever there is an update.
- Full text search for other cases.
- Get email alerts whenever a new case matches your search.
One Moment Please
The filing “” is large (MB) and is being downloaded.
Please refresh this page in a few minutes to see if the filing has been downloaded. The filing will also be emailed to you when the download completes.
Your document is on its way!
If you do not receive the document in five minutes, contact support at support@docketalarm.com.
Sealed Document
We are unable to display this document, it may be under a court ordered seal.
If you have proper credentials to access the file, you may proceed directly to the court's system using your government issued username and password.
Access Government Site
