Ubs Financial Services, Inc. v. ZimmermanMOTION TO DISMISS FOR FAILURE TO STATE A CLAIM Amended CounterclaimsE.D.N.C.August 4, 2016 US_120640932v1_332450-00079 IN THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF NORTH CAROLINA WESTERN DIVISION Case No. 5:16-CV-155-FL UBS FINANCIAL SERVICES INC., Plaintiff, v. ROBERT ZIMMERMAN, Defendant. MOTION TO DISMISS AMENDED COUNTERCLAIMS Plaintiff UBS Financial Services Inc. (“UBS Financial”), together with UBS Securities LLC and UBS AG (collectively, “UBS”), respectfully moves this Court pursuant to Rule 12(b)(6) of the Federal Rules of Civil Procedure for entry of an Order dismissing the Amended Counterclaims of Defendant Robert Zimmerman (“Zimmerman”). In support of its Motion, UBS shows this Court that: 1) Zimmerman has failed to allege that UBS has improperly used the legal process after instituting the Action, and that this Court has already found UBS Financial’s use of legal process to be legitimate; 2) Zimmerman has failed to allege the elements necessary to support a claim for unjust enrichment; 3) Zimmerman has not sufficiently pled a claim of common law fraud; 4) Zimmerman has not sufficiently pled a claim of securities fraud; 5) Zimmerman has not sufficiently pled a claim for negligent misrepresentation. UBS relies on the Memorandum of Law in Support of UBS’s Motion to Dismiss Defendant’s Amended Counterclaims, filed herewith. WHEREFORE UBS respectfully requests this court dismiss Zimmerman’s counterclaims with prejudice. Case 5:16-cv-00155-FL Document 44 Filed 08/04/16 Page 1 of 3 US_120640932v1_332450-00079 Dated: August 4, 2016. KATTEN MUCHIN ROSENMAN LLP /s/ Rebecca K. Lindahl __________________ Rebecca K. Lindahl (NC Bar No. 35378) 550 South Tryon Street Suite 2900 Charlotte, North Carolina 28202-4213 Phone: (704) 344-3141 Fax: (704) 444-2050 rebecca.lindahl@kattenlaw.com and David L. Goldberg (admitted pro hac vice) 575 Madison Avenue New York, New York 10022 Phone: (212) 940-8800 Fax: (212) 940-8776 david.goldberg@kattenlaw.com Attorneys for Counterclaim-Defendants UBS Financial Services Inc., UBS Securities LLC and UBS AG Case 5:16-cv-00155-FL Document 44 Filed 08/04/16 Page 2 of 3 US_120640932v1_332450-00079 CERTIFICATE OF SERVICE I hereby certify that on August 4, 2016, I electronically filed the foregoing with the Clerk of the Court using the CM/ECF system and I hereby certify that I have mailed the document to the following non-CM/ECF participants: Mr. Robert Zimmerman 329 Sand Piper Lane Hampstead, NC 28443 Respectfully submitted, KATTEN MUCHIN ROSENMAN LLP /s/ Rebecca K. Lindahl __________________ Rebecca K. Lindahl (NC Bar No. 35378) 550 South Tryon Street Suite 2900 Charlotte, North Carolina 28202-4213 Phone: (704) 344-3141 Fax: (704) 444-2050 rebecca.lindahl@kattenlaw.com and David L. Goldberg (admitted pro hac vice) 575 Madison Avenue New York, New York 10022 Phone: (212) 940-8800 Fax: (212) 940-8776 david.goldberg@kattenlaw.com Attorneys for Counterclaim-Defendants UBS Financial Services Inc., UBS Securities LLC and UBS AG Case 5:16-cv-00155-FL Document 44 Filed 08/04/16 Page 3 of 3