throbber

`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
` Paper No. ____
` Filed: June 24, 2016
`
`
`
`
`
`
`
`
`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 CBM2016-00087
`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
`
`Trading Techs. Int’l., Inc. v. Open E Cry, LLC, Case No. 15-1547 (Fed.
`
`Cir.).
`
`
`
`Trading Technologies identifies the following administrative matters related
`
`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);
`
`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);
`
`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.
`
`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
`
`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.
`
`
`
`
`
`12
`
`

`

`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
`
`
`
`
`
`

This document is available on Docket Alarm but you must sign up to view it.


Or .

Accessing this document will incur an additional charge of $.

After purchase, you can access this document again without charge.

Accept $ Charge
throbber

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.

throbber

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.

Become a Member

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

We are redirecting you
to a mobile optimized page.





Document Unreadable or Corrupt

Refresh this Document
Go to the Docket

We are unable to display this document.

Refresh this Document
Go to the Docket