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` Paper No. ____
` Filed: June 24, 2016
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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.
`
`
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`
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`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
`Patent Owner
`_________________
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`_________________
`
`PATENT OWNER’S MANDATORY NOTICES
` PURSUANT TO 37 C.F.R. § 42.8
`
`
`
`
`
`
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`Pursuant to 37 C.F.R. § 42.8(a)(2), Patent Owner Trading Technologies
`
`International, Inc. (“Trading Technologies”) hereby submits the following
`
`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
`
`concurrently with these Notices.
`
`II.
`
` TRADING TECHNOLOGIES’ MANDATORY NOTICES
`A.
`The real party-in-interest for the Patent Owner is Trading Technologies
`
`37 C.F.R. § 42.8(b)(1): Real Party-in-Interest
`
`International, Inc.
`
`37 C.F.R. § 42.8(b)(2): Related Matters*
`B.
`Trading Technologies identifies the following pending judicial matters that
`
`would affect, or be affected by, a decision in this proceeding:
`
`Tradestation Techs., Inc. v. Trading Techs. Int’l, No. 0:16-cv-60296 (S.D.
`
`FL);
`
`
`* To ensure completeness, Patent Owner has listed all proceedings relating to U.S.
`
`Patent Nos. 7,412,416; 7,818,247; 7,725,382; 7,693,768; 7,904,374; 7,685,055;
`
`6,772,132; 7,533,056; 7,676,411; 7,783,556; 7,212,999; 7,813,996 and 6,766,304,
`
`which have been asserted together in judicial proceedings, and are subject to
`
`administrative proceedings at the USPTO.
`
`
`
`1
`
`
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`Trading Techs. Int’l, Inc. v. Tradestation Sec., Inc., Case No. 1:10-cv-00884
`
`(N.D. Ill.) (consolidated with 1:10-cv-00715 (N.D. Ill));
`
`Trading Techs. Int’l, Inc. v. IBG LLC, Case No. 1:10-cv-00721 (N.D. Ill.)
`
`(consolidated with 1:10-cv-00715 (N.D. Ill));
`
`Trading Techs. Int’l, Inc. v. FuturePath Trading, LLC, Case No. 1:05-cv-
`
`05164 (N.D. Ill.) (consolidated with 1:10-cv-00715 (N.D. Ill));
`
`Trading Techs. Int’l, Inc. v. GL Consultants, Inc., Case No. 1:05-cv-04120
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. SunGard Data, Case No. 15-1767 (Fed. Cir.);
`
`Trading Techs. Int’l v. FuturePath Trading LLC, Case No. 15-1768 (Fed.
`
`Cir.) (consolidated with Case No. 15-1767); and
`
`Trading Techs. Int’l, Inc. v. CQG, Inc., Case No. 16-1616 (Fed. Cir.).
`
`
`
`Trading Technologies identifies the following settled, terminated, or
`
`completed judicial matters related to this patent:
`
`In re Trading Techs. Int’l, Inc., Case No. 16-120 (Fed. Cir.);
`
`Trading Techs. Int’l, Inc. v. CQG, Inc., Case No. 1:10-cv-00718 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. CQG, Inc., Case No. 1:05-cv-04811 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. FuturePath Trading, LLC, Case No. 1:10-cv-
`
`00720 (N.D. Ill.);
`
`
`
`2
`
`
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`Trading Techs. Int’l, Inc. v. Sungard Data Sys., Inc., Case No. 1:10-cv-
`
`00716 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. thinkorswim Grp., Inc., Case No. 1:10-cv-00883
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Open E Cry, LLC, Case No. 1:10-cv-00885
`
`(N.D. Ill.);
`
`GL Trade Ams., Inc. v. Trading Techs. Int’l, Inc., Case No. 1:11-cv-01558
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. TradeHelm, Inc., Case No. 1:10-cv-00931 (N.D.
`
`Ill.);
`
`Trading Techs. Int’l, Inc. v. Rosenthal Collins Grp., LLC, Case No. 1:10-cv-
`
`00929 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Stellar Trading Sys., Ltd., Case No. 1:10-cv-
`
`00882 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Cunningham Trading Sys., LLC, Case No. 1:10-
`
`cv-00726 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. BCG Partners, Inc., Case No. 1:10-cv-00715
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Orc Software, Inc., Case No. 1:05-cv-06265
`
`(N.D. Ill.);
`
`
`
`3
`
`
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`Trading Techs. Int’l, Inc. v. Transmarket Grp., Case No. 1:05-cv-05161
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. FFastFill PLC, Case No. 1:05-cv-04449 (N.D.
`
`Ill.);
`
`Trading Techs. Int’l, Inc. v. Strategy Runner, Ltd., Case No. 1:05-cv-04357
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Rolfe and Nolan Sys. Inc., Case No. 1:05-cv-
`
`04354 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. RTS Realtime Sys., Inc., et al. Case No. 1:05-cv-
`
`04332 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Peregrine Fin. Grp., Inc., Case No. 1:05-cv-
`
`04137 (N.D. Ill.);
`
`Rosenthal Collins Grp., LLC vs. Trading Techs. Int’l, Inc., Case No. 1:05-
`
`cv-04088 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Ninja Trader, LLC, Case No. 1:05-cv-03953
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Patsystems NA, LLC, Case No. 1:05-cv-02984
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Man Grp. PLC, Case No. 1:05-cv-02164 (N.D.
`
`Ill.);
`
`
`
`4
`
`
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`CQGT, LLC v. Trading Techs. Int’l, Inc., Case No. 1:05-cv-01584 (D.
`
`Colo.);
`
`Trading Techs. Int’l, Inc. v. Refco Grp., Ltd. LLC, Case No. 1:05-cv-01079
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Kingstree Trading, LLC, Case No. 1:04-cv-
`
`06740 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. Goldenberg Hehmeyer, Case No. 1:04-cv-06278
`
`(N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. eSpeed Inc., Case No. 1:04-cv-05312 (N.D. Ill.);
`
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 11-1424 (Fed. Cir.);
`
`Trading Techs. Int’l, Inc. v. Open E Cry, LLC, Case No. 12-1583 (Fed. Cir.);
`
`Trading Techs. Int’l., Inc. v. CQG, Inc., Case No. 15-1277 (Fed. Cir.); and
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`Trading Techs. Int’l., Inc. v. Open E Cry, LLC, Case No. 15-1547 (Fed.
`
`Cir.).
`
`
`
`Trading Technologies identifies the following administrative matters related
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`to this patent:
`
`Reexamination Control No. 90/008,576 (U.S. Patent No. 6,772,132) (reexam
`
`certificate issued);
`
`
`
`5
`
`
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`Reexamination Control No. 90/008,577 (U.S. Patent No. 6,766,304) (reexam
`
`certificate issued);
`
`Reexamination Control No. 90/011,250 (U.S. Patent No. 6,772,132) (reexam
`
`denied);
`
`Reexamination Control No. 90/013,578 (U.S. Patent No. 7,533,056)
`
`(pending);
`
`Reexamination Control No. 90/013,624 (U.S. Patent No. 7,685,055)
`
`(pending);
`
`CBM2014-00131 (U.S. Patent No. 7,553,056) (terminated);
`
`CBM2014-00133 (U.S. Patent No. 7,676,411) (terminated);
`
`CBM2014-00135 (U.S. Patent No. 6,772,132) (terminated);
`
`CBM2014-00136 (U.S. Patent No. 6,766,304) (not instituted);
`
`CBM2014-00137 (U.S. Patent No. 7,685,055) (terminated);
`
`CBM2015-00057 (U.S. Patent No. 6,766,304) (not instituted);
`
`CBM2015-00058 (U.S. Patent No. 6,772,132) (not instituted);
`
`CBM2015-00161 (U.S. Patent No. 6,766,304) (pending);
`
`CBM2015-00172 (U.S. Patent No. 7,783,556) (pending);
`
`CBM2015-00179 (U.S. Patent No. 7,533,056) (pending);
`
`CBM2015-00181 (U.S. Patent No. 7,676,411) (pending);
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`CBM2015-00182 (U.S. Patent No. 6,772,132) (pending);
`
`
`
`6
`
`
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`CBM2016-00009 (U.S. Patent No. 7,685,055) (pending);
`
`CBM2016-00031 (U.S. Patent No. 7,813,996) (pending);
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`CBM2016-00032 (U.S. Patent No. 7,212,999) (pending);
`
`CBM2016-00035 (U.S. Patent No. 6,766,304) (consolidated with Case No.
`
`CBM2015-00161);
`
`CBM2016-00040 (U.S. Patent No. 7,783,556) (consolidated with Case No.
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`CBM2015-00172);
`
`CBM2016-00051 (U.S. Patent No. 7,904,374) (pending);
`
`CBM2016-00054 (U.S. Patent No. 7,693,768) (pending);
`
`CBM2016-00086 (U.S. Patent No. 7,818,247) (pending); and
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`CBM2016-00090 (U.S. Patent No. 7,725,382) (pending).
`
`
`
`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
`7
`
`
`
`
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`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.
`
`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 February 5,
`2016.
`
`Trading Technologies International, Inc.’s Email To
`Robert C. Houser, Office of the Under Secretary and
`Director, United States Patent and Trademark Office,
`regarding PTAB CBM Proceeding No. CBM 2015-0061
`[sic], dated April 1, 2016.
`
`
`
`In further compliance with 37 C.F.R. § 42.8(b)(2)—as clarified in response
`
`to Comment No. 34 to the Final Rules of Practice for Trials Before the Patent Trial
`
`
`
`8
`
`
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`and Appeal Board and Judicial Review of Patent Trial and Appeal Board
`
`Decisions, 77 Fed. Reg. 157 at 48629 (Aug. 14, 2012)—Trading Technologies
`
`identifies the following matters related to this patent:
`
`Opposition to European Patent No. EP1319211; and
`
`Submission of Publications, etc., to Japanese Patent Office for Japanese
`
`Patent Application No. 2001-564025 (patent issued).
`
`
`
`C.
`
`37 C.F.R. § 42.8(b)(3) and (4): Lead and Back-Up Counsel, and
`Service Information
`
`Patent Owner designates the following counsel to transact all business in the
`
`United States Patent & Trademark Office associated with the above-captioned
`
`proceeding.
`
`Lead Counsel
`Erika H. Arner
`
`Back-Up Counsel
`Joshua L. Goldberg
`
`(Reg. No. 57,540)
`
`(Reg. No. 59,369)
`
`Finnegan, Henderson, Farabow,
`
`Finnegan, Henderson, Farabow,
`
`
`
`Garrett & Dunner, LLP
`
`
`
`Garrett & Dunner, LLP
`
`11955 Freedom Drive
`
`901 New York Avenue, NW
`
`Reston, VA 20190
`
`Washington, DC 20001-4413
`
`Phone: (571)203-2754
`
`Phone: (202) 408-6092
`
`
`
`9
`
`
`
`Fax: (202) 408-4400
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`Fax: (202) 408-4400
`
`Email: erika.arner@finnegan.com
`
`Email: joshua.goldberg@finnegan.com
`
`
`
`
`
`
`
`
`
`
`
`Kevin D. Rodkey
`
`(Reg. No. 65,506)
`
`Finnegan, Henderson, Farabow,
`
`
`
`Garrett & Dunner, LLP
`
`271 17th Street, NW, Suite 1400
`
`Atlanta, GA 30363-6209
`
`Phone: (404) 653-6484
`
`Email: kevin.rodkey@finnegan.com
`
`
`
`Rachel L. Emsley
`
`(Reg. No. 63,558)
`
`Finnegan, Henderson, Farabow,
`
`
`
`Garrett & Dunner, LLP
`
`2 Seaport Lane, 6th Floor
`
`Boston, MA 02210-2001
`
`Phone: (617) 646-1624
`
`Email: rachel.emsley@finnegan.com
`
`10
`
`
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`
`
`
`Michael D. Gannon
`
`(Reg. No. 36,807)
`
`McDonnell Boehnen Hulbert &
`
`Berghoff LLP
`
`300 South Wacker Drive
`
`Chicago, Illinois 60606
`
`Phone: (312) 913-2139
`
`Fax: (312) 913-0002
`
`Email: gannon@mbhb.com
`
`
`
`Leif R. Sigmond, Jr. (Reg. No. 35,680)
`
`McDonnell Boehnen Hulbert &
`
`Berghoff LLP
`
`300 South Wacker Drive
`
`Chicago, Illinois 60606
`
`Phone: (312) 913-0001
`
`Fax: (312) 913-0002
`
`Email: sigmond@mbhb.com
`
`
`
`11
`
`
`
`
`
`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`
`Steven F. Borsand
`
`(Reg. No. 36,752)
`
`Trading Technologies International, Inc.
`
`222 South Riverside Plaza, Suite 1100
`
`Chicago, IL 60606
`
`Phone: (312) 476-1018
`
`Email: tt-patent-cbm@tradingtechnologies.com
`
`
`
`Please address all correspondence regarding this proceeding to all lead and
`
`back-up counsel. Patent Owner also consents to electronic service by email at the
`
`following address: Trading-Tech-CBM@finnegan.com
`
`Dated: June 24, 2016
`
`
`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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`12
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`Case CBM2016-00087
`U.S. Patent 7,412,416 B2
`CERTIFICATE OF SERVICE
`
`The undersigned hereby certifies that a copy of the foregoing Patent
`
`Owner’s Mandatory Notices was served on June 24, 2016, via email directed to
`
`counsel of record for the Petitioner 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
`PTABINBOUND@fr.com
`
`PTAB@skgf.com
`
`
`
`
`
`Date: June 24, 2016
`
`
`
`
`
`/Lisa C. Hines/
`Lisa C. Hines
`Litigation Clerk
`
`Finnegan, Henderson, Farabow, Garrett &
`Dunner, LLP
`
`
`
`
`
`