Paper No. ______
`Filed: May 1, 2017
`
`
`
`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 CBM2016-0054
`U.S. Patent 7,693,768
`
`
`
`PATENT OWNER’S OBJECTIONS TO EVIDENCE
`
`
`
`Filed: May 1, 2017
`
`
`
`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 CBM2016-0054
`U.S. Patent 7,693,768
`
`
`
`PATENT OWNER’S OBJECTIONS TO EVIDENCE
`
`
`
`
`Pursuant to 37 C.F.R. § 42.64(b)(1), Patent Owner objects to the following
`
`Petitioner Exhibits:
`
`CBM2016-00054
`U.S. Patent 7,693,768
`
`
`1048 -
`
`Exhibit No. 1 from the Deposition of Atushi Kawashima, IBG,
`
`LLC et al. v. Trading Techs. Int’l, Inc., CBM2015-00179, -
`
`00181, and -00182, June 17, 2016.
`
`1049 -
`
`Certified English Translation of Exhibit No. 1 from the
`
`Deposition of Atushi Kawashima, IBG, LLC et al. v. Trading
`
`Techs. Int’l, Inc., CBM2015-00179, -00181, and -00182, June
`
`17, 2016.
`
`1050 -
`
`Certification of Translation of Exhibit No. 1 from the
`
`Deposition of Atushi Kawashima, IBG, LLC et al. v. Trading
`
`Techs. Int’l, Inc., CBM2015-00179, -00181, and -00182, June
`
`17, 2016.
`
`1051 -
`
`Exhibit No. 2 from the Deposition of Atushi Kawashima, IBG,
`
`LLC et al. v. Trading Techs. Int’l, Inc., CBM2015-00179, -
`
`00181, and -00182, June 17, 2016.
`
`1052 -
`
`Certified English Translation of Exhibit No. 2 from the
`
`Deposition of Atushi Kawashima, IBG, LLC et al. v. Trading
`
`Techs. Int’l, Inc., CBM2015-00179, -00181, and -00182, June
`
`17, 2016.
`
`1
`
`
`
`CBM2016-00054
`U.S. Patent 7,693,768
`
`
`1053 -
`
`Certification of Translation of Exhibit No. 2 from the
`
`Deposition of Atushi Kawashima, IBG, LLC et al. v. Trading
`
`Techs. Int’l, Inc., CBM2015-00179, -00181, and -00182, June
`
`17, 2016.
`
`1054 -
`
`Exhibit No. 3 from the Deposition of Atushi Kawashima, IBG,
`
`LLC et al. v. Trading Techs. Int’l, Inc., CBM2015-00179, -
`
`00181, and -00182, June 17, 2016.
`
`1055 -
`
`Certified English Translation of Exhibit No. 3 from the
`
`Deposition of Atushi Kawashima, IBG, LLC et al. v. Trading
`
`Techs. Int’l, Inc., CBM2015-00179, -00181, and -00182, June
`
`17, 2016.
`
`1056 -
`
`Certification of Translation of Exhibit No. 3 from the
`
`Deposition of Atushi Kawashima, IBG, LLC et al. v. Trading
`
`Techs. Int’l, Inc., CBM2015-00179, -00181, and -00182, June
`
`17, 2016.
`
`1057 -
`
`Exhibit No. 4 from the Deposition of Atushi Kawashima, IBG,
`
`LLC et al. v. Trading Techs. Int’l, Inc., CBM2015-00179, -
`
`00181, and -00182, June 17, 2016.
`
`1058 -
`
`Certified English Translation of Exhibit No. 4 from the
`
`Deposition of Atushi Kawashima, IBG, LLC et al. v. Trading
`
`2
`
`
`
`CBM2016-00054
`U.S. Patent 7,693,768
`
`
`Techs. Int’l, Inc., CBM2015-00179, -00181, and -00182, June
`
`17, 2016.
`
`1059 -
`
`Certification of Translation of Exhibit No. 4 from the
`
`Deposition of Atushi Kawashima, IBG, LLC et al. v. Trading
`
`Techs. Int’l, Inc., CBM2015-00179, -00181, and -00182, June
`
`17, 2016.
`
`1072 -
`
`Commodity Futures Trading Commission Strategic Plan, 2007-
`
`2012.
`
`1073 -
`
`INTEX Trading Screen.
`
`1074 - Maidenberg, H.J., “Futures/Options; Automation in Trading,”
`
`The New York Times, December 10, 1984.
`
`1077 -
`
`Growth and Change in the Eighties, New York Stock Exchange
`
`Annual Report, 1983.
`
`1078 -
`
`Terrell, E., “History of the American and NASDAQ Stock
`
`Exchanges,” Business Reference Services, September 2006.
`
`1079 -
`
`Rustin, R., “Stock Exchange’s New Home May Feature Push-
`
`Button Trades Via Private Offices,” The Wall Street Journal,
`
`May 13, 1969.
`
`3
`
`
`
`CBM2016-00054
`U.S. Patent 7,693,768
`
`
`I.
`
`OBJECTIONS TO EXHIBITS 1048, 1051, 1054, AND 1057
`
`Exhibits 1048, 1051, 1054, and 1057 are exhibits that were marked and
`
`presented during the June 17, 2016 deposition of Atushi Kawashima taken in
`
`connection with proceedings CBM2015-00179, -00181, and -00182. These
`
`exhibits were improperly marked and presented during this deposition because
`
`they were beyond the scope of Patent Owner’s cross-examination of Mr.
`
`Kawashima. Patent Owner timely objected to these exhibits as being beyond the
`
`scope of cross-examination. Ex. 2163, 47:20-22. Patent Owner thus renews its
`
`objection herein under FRE 611.
`
`Patent Owner further objects to Exhibits 1048, 1051, 1054, and 1057 to the
`
`extent that Petitioners rely on their contents for the truth of the matters asserted
`
`therein. Exhibits 1048, 1051, 1054, and 1057 are inadmissible hearsay under FRE
`
`801 and 802, and no exception applies. Further, Petitioners have submitted no
`
`evidence that sufficiently authenticates Exhibits 1048, 1051, 1054, and 1057
`
`rendering these Exhibits inadmissible under FRE 901. Patent Owner also objects
`
`to Exhibits 1048, 1051, 1054, and 1057 as lacking any tendency to make any fact
`
`at issue in this proceeding more or less probable. These Exhibits are therefore
`
`inadmissible under FRE 401 and 402, or in the alternative, under FRE 403 as
`
`prejudicial and a waste of time.
`
`4
`
`
`
`CBM2016-00054
`U.S. Patent 7,693,768
`
`
`II. OBJECTIONS TO EXHIBITS 1049-1050, 1052-1053, 1055-1056, AND
`1058-1059
`
`Patent Owner objects to Exhibits 1049-1050, 1052-1053, 1055-1056, and
`
`1058-1059 under FRE 611 on the same basis as the objections presented above in
`
`Section I.
`
`Further, to the extent that Petitioners rely on their contents for the truth of
`
`the matters asserted therein. Exhibits 1049-1050, 1052-1053, 1055-1056, and
`
`1058-1059 are inadmissible hearsay under FRE 801 and 802, and no exception
`
`applies. Further, Petitioners have submitted no evidence that sufficiently
`
`authenticates Exhibits 1049-1050, 1052-1053, 1055-1056, and 1058-1059
`
`rendering these Exhibits inadmissible under FRE 901. Patent Owner also objects
`
`to Exhibits 1049-1050, 1052-1053, 1055-1056, and 1058-1059 as lacking any
`
`tendency to make any fact at issue in this proceeding more or less probable. These
`
`Exhibits are therefore inadmissible under FRE 401 and 402, or in the alternative,
`
`under FRE 403 as prejudicial and a waste of time.
`
`III. OBJECTIONS TO EXHIBITS 1072-1074, AND 1077-1079
`
`Patent Owner objects to Exhibits 1072-1074, and 1077-1079 to the extent
`
`that Petitioners rely on their contents for the truth of the matters asserted therein.
`
`Exhibits 1072-1074, and 1077-1079 are inadmissible hearsay under FRE 801 and
`
`802, and no exception applies. Further, Petitioners have submitted no evidence that
`
`5
`
`
`
`CBM2016-00054
`U.S. Patent 7,693,768
`
`
`sufficiently authenticates Exhibits 1072-1074, and 1077-1079 rendering these
`
`Exhibits inadmissible under FRE 901. Patent Owner also objects to Exhibits 1072-
`
`1074, and 1077-1079 as lacking any tendency to make any fact at issue in this
`
`proceeding more or less probable. These Exhibits are therefore inadmissible under
`
`FRE 401 and 402, or in the alternative, under FRE 403 as prejudicial and a waste
`
`of time.
`
`
`
`
`Dated: May 1, 2017
`
`By:
`
`
`
`
`Respectfully submitted,
`
`
`
`
`
`/Cole B. Richter/
`Cole B. Richter,
`Counsel for Patent Owner
`Reg. No. 65,398
`
`
`
`McDonnell Boehnen Hulbert &
`Berghoff LLP
`300 South Wacker Drive
`Chicago, Illinois 60606
`(312) 913-0001 Telephone
`(312) 913-0002 Facsimile
`
`6
`
`
`
`CBM2016-00054
`U.S. Patent 7,693,768
`
`
`CERTIFICATE OF SERVICE
`
`The undersigned hereby certifies that a copy of the foregoing Patent
`
`Owner’s Objections to Evidence was served on May 1, 2017, via email directed to
`
`counsel of record for the Petitioners at the following:
`
`Robert E. Sokohl
`rsokohl-PTAB@skgf.com
`
`Lori A. Gordon
`lgordon-PTAB@skgf.com
`
`Richard M. Bemben
`rbemben-PTAB@skgf.com
`
`John C. Phillips
`CBM41919-0013CP1@fr.com
`
`PTAB@skgf.com
`
`
`
`
`
`/Cole B. Richter/
`Cole B. Richter,
`Counsel for Patent Owner,
`Reg. No. 65,398
`
`
`
`Dated: May 1, 2017
`
`By:
`
`
`
`
`
`
`
`
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