UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`IBG LLC, INTERACTIVE BROKERS LLC,
`TRADESTATION GROUP, INC., and
`TRADESTATION SECURITIES, INC.
`Petitioners,
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`v.
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`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
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`Case CBM2016-00087
`Patent No. 7,412,416 B2
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`PETITIONERS’ MOTION FOR PRO HAC VICE ADMISSION OF ADAM J.
`KESSEL UNDER 37 C.F.R. § 42.10(c)
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`Mail Stop “Patent Board”
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
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`

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`CBM2016-00087
`U.S. Patent No. 7,412,416
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`UPDATED EXHIBIT LIST
`
`
`Ex. No. Description
`1001
`U.S. Patent No. 7,412,416 B2 to Friesen et al. (“ʼ416 patent”)
`1002
`File History of Application Ser. No. 11/417,522, which became the
`’416 patent, as filed and obtained from PAIR (“’416 File History”)
`U.S. Patent No. 7,533,056 to Friesen et al. (“ʼ056 patent”)
`INTENTIONALLY SKIPPED
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00131, Paper 19 (“’131 Ins. Dec.”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00131, Paper 24 (“’131 Reh’g Dec.”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00131, Paper 38 (“’131 POR”)
`IBG LLC v. Trading Techs. Int’l, Inc., CBM2015-00179, Paper 21
`(“’179 POPR”)
`Trading Techs. Int’l. v. CQG, No. 05-cv-4811, Slip. Op. (N.D. Ill.
`Feb. 24, 2015) (“TT v. CQG Slip. Op.”)
`Transcript of the Deposition of Christopher Thomas, April 28, 2015
`(“Thomas Tr.”)
`Redacted Second Corrected Expert Report of Christopher Thomas,
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill. Dec. 12, 2013) (“Thomas Report”)
`Expert Declaration of Kendyl A. Román (“Román Decl.”)
`Curriculum Vitae of Kendyl A. Román (“Román CV”)
`List of Materials Considered by Kendyl A. Román (“Román List of
`Materials”)
`“Futures/Option Purchasing System Trading Terminal Operation
`Guidelines,” Tokyo Stock Exchange (“TSE JP”)
`Certified Translation of “System for Buying and Selling Futures and
`Options Transaction Terminal Operational Guidelines” (“TSE”)
`Certificate of Translation for “System for Buying and Selling
`Futures and Options Transaction Terminal Operational Guidelines”
`(“TSE Certificate”)
`Deposition Transcript of Atsushi Kawashima, Trading Technologies
`International, Inc., v. eSPEED, Inc., Case No. 04-cv-5312, United
`States District Court, Northern District of Illinois, Eastern Division,
`dated November 21, 2005 (“Kawashima Dep. Tr.”)
`U.S. Patent No. 5,619,631 to Schott (“Schott”)
`
`1003
`1004
`1005
`
`1006
`
`1007
`
`1008
`
`1009
`
`1010
`
`1011
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`1012
`1013
`1014
`
`1015
`
`1016
`
`1017
`
`1018
`
`1019
`
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`- i -
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`CBM2016-00087
`U.S. Patent No. 7,412,416
`
`1026
`1027
`1028
`1029
`
`1030
`
`1031
`1032
`1033
`
`1034
`1035
`
`Ex. No. Description
`1020
`U.S. Patent No. 5,646,992 to Subler et al. (“Subler”)
`1021
`INTENTIONALLY SKIPPED
`1022
`U.S. Patent No. 5,136,501 to Silverman et al. (“Silverman”)
`1023
`U.S. Patent No. 5,297,031 to Gutterman et al. (“Gutterman”)
`1024
`WO 90/11571 to Belden
`1025
`Mark J. Powers, “Starting Out in Futures Trading,” Sixth Edition,
`2001 (“Powers”)
`History of the American and NASDAQ Stock Exchanges
`David M. Weiss, “After the Trade is Made,” 1993 (“Weiss”)
`INTENTIONALLY LEFT BLANK
`Alan Cooper, “About Face: The Essentials of User Interface
`Design,” First Edition, 1995. (“Cooper”)
`Ben Shneiderman, “Designing the User Interface: Strategies for
`Effective Human-Computer Interaction,” Third Edition, 1998
`(“Shneiderman”)
`INTENTIONALLY SKIPPED
`INTENTIONALLY SKIPPED
`Richard W. Arms Jr., “Profits in Volume - Equivolume Charting,”
`1971 (“Arms”)
`INTENTIONALLY SKIPPED
`Inside Macintosh, Promotional Edition, Apple Computer, Inc., 1985
`(“Inside Macintosh”)
`Valerie Illingworth, and I. C. Pyle, Dictionary of Computing, 4th
`Ed, Oxford University Press, 1996 (“Oxford Dictionary”)
`U.S. Patent No. 1,760,287 to Schippers (“Schippers”)
`INTENTIONALLY SKIPPED
`INTENTIONALLY SKIPPED
`Merriam-Webster’s Collegiate Dictionary, Tenth Edition, 1998.
`TradeStation Gr’p, Inc. v. Trading Techs. Int’l, Inc., CBM2015-
`00161, Paper 29 (“’161 Ins. Dec.”)
`1042
`U.S. Patent No. 5,347,452 to Bay, Jr. (“Bay”)
`1043-1057 Served (Not Filed)
`1058
`Deposition Transcript of Christopher H. Thomas, IBG LLC et al. v.
`Trading Techs. Int’l, Inc., CBM2016-00087, May 8, 2017.
`Deposition Transcript of Christopher H. Thomas, IBG LLC et al. v.
`Trading Techs. Int’l, Inc., CBM2016-00032, January 27, 2017.
`Deposition Transcript of Christopher H. Thomas, IBG LLC et al. v.
`Trading Techs. Int’l, Inc., CBM2015-00179, August 17, 2016.
`
`1036
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`1037
`1038
`1039
`1040
`1041
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`1059
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`1060
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`- ii -
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`CBM2016-00087
`U.S. Patent No. 7,412,416
`
`1062
`
`1063
`
`Ex. No. Description
`1061
`Growth and Change in the Eighties, New York Stock Exchange
`Annual Report, 1983.
`Terrell, E., “History of the American and NASDAQ Stock
`Exchanges,” Business Reference Services, September 2006.
`Rustin, R., “Stock Exchange’s New Home May Feature Push-
`Button Trades Via Private Offices,” The Wall Street Journal, May
`13, 1969.
`Slip Opinion, Trading Technologies International, Inc. v. CQG,
`Inc., et al., Appeal No. 2016-1616 (Fed. Cir. Jan. 18, 2017).
`Memorandum Opinion and Order, Trading Technologies
`International, Inc. v. CQG, Inc., et al., Case No. 05-cv-4811 (N.D.
`Ill.), February 24, 2015.
`Merriam-Webster Collegiate Dictionary, Eleventh Edition, 2008
`Webster’s New World College Dictionary, Fourth Edition, 2012
`Declaration of Adam Kessel in Support of Pro Hac Vice Motion
`
`1064
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`1065
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`1066
`1067
`1068
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`SERVED EXHIBITS (NOT FILED)
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`1044
`1045
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`Ex. No. Description
`1043
`Transcript of the Deposition of Atushi Kawashima, IBG, LLC et al.
`v. Trading Techs. Int’l, Inc., CBM2015-00179, -00181, and -00182,
`June 17, 2016
`Declaration of Robert E. Sokohl.
`Updated Certificate of Translation for “System for Buying and
`Selling Futures and Options Transaction Terminal Operational
`Guidelines”
`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.
`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.
`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.
`
`1046
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`1047
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`1048
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`CBM2016-00087
`U.S. Patent No. 7,412,416
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`1051
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`1052
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`1053
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`1050
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`Ex. No. Description
`1049
`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
`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.
`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.
`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.
`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.
`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.
`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.
`Certified English 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.
`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.
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`1054
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`1055
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`1056
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`1057
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`CBM2016-00087
`U.S. Patent No. 7,412,416
`Pursuant to 37 C.F.R. § 42.10(c), Petitioners respectfully request that the
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`Board recognize Adam J. Kessel as counsel pro hac vice in this proceeding.
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`Petitioners seek the counsel of Adam J. Kessel due to his experience in
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`representing Petitioners in other patent-related matters and particularly due to his
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`familiarity with the substantive and technical issues involved in this proceeding.
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`This motion is authorized by the Notice of Filing Date Accorded to Petition and
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`Time for Filing Patent Owner Preliminary Response that was mailed on June 7,
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`2016 (Paper 6).
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`Statement of Facts
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`Mr. Kessel is a patent litigation attorney with more than a decade of
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`experience representing clients in cases involving computer software. Mr. Kessel
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`regularly litigates cases before the United States Court of Appeals for the Federal
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`Circuit, various federal district courts, and the International Trade Commission.
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`Through his practice in such cases, Mr. Kessel has gained substantial experience in
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`jury trials, discovery, Markman hearings, and appeals. In addition to his legal
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`experience, Mr. Kessel had many years of software development experience prior
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`to entering the practice of law. Mr. Kessel also has a degree in chemistry from
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`Princeton University. Mr. Kessel’s biography is attached to the Declaration of
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`Adam Kessel in Support of Petitioners’ Motion for Pro Hac Vice Admission as
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`Appendix A.
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`CBM2016-00087
`U.S. Patent No. 7,412,416
`Mr. Kessel also has particular experience and familiarity with the
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`substantive and technical issues involved in this Covered Business Method review
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`proceeding. Mr. Kessel has been involved in co-pending patent litigation brought
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`by Patent Owner against the TradeStation Petitioners since its inception in June
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`2010. Over the past five years, Mr. Kessel has invested substantial time on the
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`TradeStation Petitioners’ behalf on motion practice, discovery, appeals, and
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`analysis of the patents-in-suit, including the patent for which review is sought in
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`the instant proceeding. The TradeStation Petitioners have thus invested significant
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`financial resources in this related matter in which Mr. Kessel served as the
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`TradeStation Petitioners’ counsel. Moreover, through his representation in the
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`related matter, the TradeStation Petitioners have developed a particular
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`relationship with Mr. Kessel such that the TradeStation Petitioners desire to
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`continue the relationship with Mr. Kessel for the purpose of this proceeding.
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`Affidavit of Individual Seeking to Appear
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`This Motion for Pro Hac Vice Admission is accompanied by a Declaration
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`by Mr. Kessel in accordance with the “Order Authorizing Motion for Pro Hac Vice
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`Admission” in Case IPR2013-00639, Paper 7.
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`CBM2016-00087
`U.S. Patent No. 7,412,416
`Accordingly, Petitioners submit that there is good cause under 37 C.F.R. §
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`42.10(c) for the Board to recognize Mr. Kessel as counsel pro hac vice during this
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`proceeding.
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`
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`Date: June 14, 2017
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`
`
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`
`Respectfully submitted,
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`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
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`CBM2016-00087
`U.S. Patent No. 7,412,416
`CERTIFICATION OF SERVICE (37 C.F.R. §§ 42.6(e))
`
`The undersigned hereby certifies that on June 14, 2017, true and correct
`
`copies of the above-captioned PETITIONERS’ MOTION FOR PRO HAC
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`VICE ADMISSION OF ADAM J. KESSEL UNDER 37 C.F.R. § 42.10(c) and
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`Exhibit 1068 were served electronically via email in their entireties on the
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`following:
`
`
`Leif R. Sigmond, Jr. (Lead Counsel) sigmond@mbhb.com
`Michael D. Gannon (Back-up Counsel) gannon@mbhb.com
`Jennifer M. Kurcz (Back-up Counsel) kurcz@mbhb.com
`Cole B. Richter (Back-up Counsel) richter@mbhb.com
`MCDONNELL, BOEHNEN, HULBERT & BERGHOFF LLP
`
`Steven F. Borsand (Back-up Counsel) tt-patentcbm@tradingtechnologies.com
`Jay Q. Knobloch (Back-up Counsel) jay.knobloch@tradingtechnologies.com
`Trading Technologies International, Inc.
`
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`Respectfully submitted,
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`
`
`
`
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`Date: June 14, 2017
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`
`
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`5376387_1.docx
`
`
`
`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
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