[Important Email Information]

UNITED STATES PATENT AND TRADEMARK OFFICE

 

 

 

OFFICE ACTION

 

RESPONSE TIME LIMIT:  TO AVOID ABANDONMENT, THE OFFICE MUST RECEIVE A PROPER RESPONSE TO THIS OFFICE ACTION WITHIN 6 MONTHS OF THE MAILING OR E-MAILING DATE. 

 

MAILING/E-MAILING DATE INFORMATION:  If the mailing or e-mailing date of this Office action does not appear above, this information can be obtained by visiting the USPTO website at http://tarr.gov.uspto.report/, inserting the application serial number, and viewing the prosecution history for the mailing date of the most recently issued Office communication.

 

Serial Number  78/856602

 

This letter responds to the applicant’s communication filed on October 16, 2006.  The applicant (1) argued against the Section 2(d) refusal, (2) amended the color claim and color description and (3) amended the recitation of services.  The color claim and color description are acceptable.  The amended recitation of services is also acceptable.  Upon careful consideration of the applicant’s arguments, the examiner withdraws the Section 2(d) refusal based on Registration No. 2503349.  The Section 2(d) refusal based on Registration No. 1915407, Registration No. 1513036 and Registration No. 1509554 are maintained as to International Class 36.

 

Upon further review of the file, the examiner has determined that Registration No. 1612316 for CAPSTONE for “management and brokerage services of real estate assets and properties” should have been cited against the applicant for International Class 36.  The examiner apologizes for the delayed notification of the missed citation.  However, for the reasons  stated below, it is believed that there exists a genuine likelihood of consumer confusion vis-à-vis the cited registration and that allowance of  the  applicant’s mark would thus constitute clear error in violation of the provisions of the Trademark Act.  Accordingly, the refusal now made of  record is both mandated by Section 2(d) of the Trademark Act and is made within the proper jurisdiction of the examining attorney.

 

LIKELIHOOD OF CONFUSION FOR INTERNATIONAL CLASS 36

THIS REFUSAL IS LIMITED TO INTERNATIONAL CLASS 36.  IF THE APPLICANT DELETES INTERNATIONAL CLASS 36, THEN THE REFUSAL WILL BE WITHDRAWN.

 

The examining attorney refuses registration under Trademark Act Section 2(d), 15 U.S.C. Section 1052(d), because the applicant's mark, when used on or in connection with the identified goods, so resembles the marks in the below identified U.S. Registration No. 1612316 as to be likely to cause confusion, or to cause mistake, or to deceive.  TMEP section 1207.  The refusal based on Registration No. 1915407, Registration No. 1513036 and Registration No. 1509554 are maintained. See the enclosed registrations.

 

The examining attorney must analyze each case in two steps to determine whether there is a likelihood of confusion.  First, the examining attorney must look at the marks themselves for similarities in appearance, sound, connotation and commercial impression.  In re E. I. DuPont de Nemours & Co., 476 F.2d 1357, 177 USPQ 563 (CCPA 1973).  Second, the examining attorney must compare the goods or services to determine if they are related or if the activities surrounding their marketing are such that confusion as to origin is likely.  In re August Storck KG, 218 USPQ 823 (TTAB 1983); In re International Telephone and Telegraph Corp., 197 USPQ 910 (TTAB 1978); Guardian Products Co., v. Scott Paper Co., 200 USPQ 738 (TTAB 1978).

 

The applicant’s mark is CAPSTONE and design for “financial services, namely, money lending, hedge fund management and real estate investment advisory services” in International Class 36.  The registered marks are:

 

Registration No. 1612316 for CAPSTONE for “management and brokerage services of real estate assets and properties;”

 

Registration No. 1915407 for CAPSTONE for “investing and managing funds for others;”

 

Registration No. 1513036 for CAPSTONE ASSET PLANNING COMPANY for “investing and managing funds for others;”

 

Registration No. 1509554 for CAPSTONE FINANCIAL SERVICES, INC. for “investing and managing funds for others.”

 

The examining attorney must compare the marks for similarities in sound, appearance, meaning or connotation.  In re E. I. DuPont de Nemours & Co., 476 F.2d 1357, 177 USPQ 563 (CCPA 1973).  Similarity in any one of these elements is sufficient to find a likelihood of confusion. In re Mack, 197 USPQ 755 (TTAB 1977).  In the instant case, the marks are highly similar because they share the term CAPSTONE.  The only other terms in the registrant’s marks have been disclaimed because they are descriptive.  Descriptive terms tend to be less dominant.  Overall, the commercial impressions created by the marks are highly similar.

 

The services of the parties need not be identical or directly competitive to find a likelihood of confusion.  They need only be related in some manner, or the conditions surrounding their marketing be such, that they could be encountered by the same purchasers under circumstances that could give rise to the mistaken belief that the services come from a common source.  In re Martin's Famous Pastry Shoppe, Inc., 748 F.2d 1565, 223 USPQ 1289 (Fed. Cir. 1984); In re Corning Glass Works, 229 USPQ 65 (TTAB 1985); In re Rexel Inc., 223 USPQ 830 (TTAB 1984); Guardian Products Co., Inc. v. Scott Paper Co., 200 USPQ 738 (TTAB 1978); In re International Telephone & Telegraph Corp., 197 USPQ 910 (TTAB 1978). In the instant case, the applicant believes that money lending, hedge fund management and real estate investment advisory services are different from investing and managing the funds of others.  The examiner respectfully disagrees.  Managing the funds of others is broad enough to encompass hedge fund investment which is the management of a specific type of funds.  Please see the attached Google stories where people describe their services as managing funds and specify that they are managing hedge funds.  Furthermore, real estate investment is encompassed in investing for others.

 

Moreover, the examiner attaches third party registrations that demonstrate that money lending, hedge fund investment and real estate investment are related to investing and managing funds for others.  These registrations show that the services are of the type that frequently emanate from a common source.  The examiner also attaches third party registrations that demonstrate that real estate investment advisory is related to management and brokerage of real estate assets.  Please see the attached third party registrations.  Accordingly, registration is refused.

 

RESPONSE GUIDELINES

If applicant should fail to respond to this Office action within the six month time limit, then the following services in International Class 36 will be deleted from the application.  The application will then proceed with the services in International Class 35.  37 C.F.R. §2.65(a).

 

There is no required format or form for responding to this Office action.  The Office recommends applicants use the Trademark Electronic Application System (TEAS) to respond to Office actions online at http://www.gov.uspto.report/teas/index.html.  However, if applicant responds on paper via regular mail, the response should include the following information:  (1) the name and law office number of the examining attorney; (2) the serial number of this application; (3) the mailing date of this Office action; and (4) applicant's telephone number.

 

The response should address each refusal and/or requirement raised in the Office action.  If a refusal has issued, applicant may wish to argue against the refusal, i.e., submit arguments and/or evidence as to why the refusal should be withdrawn and why the mark should register.  To respond to requirements, applicant should simply set forth in writing the required changes or statements and request that the Office enter them into the application record. 

 

The response must be signed by applicant or someone with legal authority to bind applicant (i.e., a corporate officer of a corporate applicant, the equivalent of an officer for unincorporated organizations or limited liability company applicants, a general partner of a partnership applicant, each applicant for applications with multiple individual applicants, etc.).  TMEP §§712 et seq.

 

If the applicant has any questions or needs assistance in responding to this Office action, please telephone the assigned examining attorney.

 

 

 

 

 

/Tanya L. Amos/

Trademark Examining Attorney

Law Office 113

571-272-9423 Telephone

571-273-9423 Fax

1-800-786-9199 Trademark Assistance

 

 

HOW TO RESPOND TO THIS OFFICE ACTION:

• ONLINE RESPONSE:  You may respond using the Office’s Trademark Electronic Application System (TEAS) Response to Office action form available on our website at http://www.gov.uspto.report/teas/index.html.  If the Office action issued via e-mail, you must wait 72 hours after receipt of the Office action to respond via TEAS.  NOTE:  Do not respond by e-mail.  THE USPTO WILL NOT ACCEPT AN E-MAILED RESPONSE.
• REGULAR MAIL RESPONSE:  To respond by regular mail, your response should be sent to the mailing return address above, and include the serial number, law office number, and examining attorney’s name.  NOTE:  The filing date of the response will be the date of receipt in the Office, not the postmarked date.  To ensure your response is timely, use a certificate of mailing.  37 C.F.R. §2.197.

 

STATUS OF APPLICATION: To check the status of your application, visit the Office’s Trademark Applications and Registrations Retrieval (TARR) system at http://tarr.uspto.gov.

 

VIEW APPLICATION DOCUMENTS ONLINE: Documents in the electronic file for pending applications can be viewed and downloaded online at http://portal.gov.uspto.report/external/portal/tow.

 

GENERAL TRADEMARK INFORMATION: For general information about trademarks, please visit the Office’s website at http://www.gov.uspto.report/main/trademarks.htm

 

FOR INQUIRIES OR QUESTIONS ABOUT THIS OFFICE ACTION, PLEASE CONTACT THE ASSIGNED EXAMINING ATTORNEY SPECIFIED ABOVE.

 

 

Note:

 

In order to avoid size limitation constraints on large e-mail messages, this Office Action has been split into 7 smaller e-mail messages.  The Office Action in its entirety consists of this message as well as the following attachments that you will receive in separate messages:

 

Email 1 includes the following 38 attachments  

1. 73712041P001OF001  

2. 73699007P001OF001  

3. 73699027P001OF001  

4. 74538401P001OF001  

5. 75661691P001OF003  

6. 75661691P002OF003  

7. 75661691P003OF003  

8. 75717281P001OF002  

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15. 76037924P001OF003  

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34. 78480117P002OF002  

35. 78487896P001OF003  

36. 78487896P002OF003  

37. 78487896P003OF003  

38. hedge1-01  

 

Email 2 includes the following 6 attachments  

1. hedge1-02  

2. hedge1-03  

3. hedge1-04  

4. hedge1-05  

5. hedge1-06  

6. hedge1-07  

 

Email 3 includes the following 7 attachments  

1. hedge1-08  

2. hedge1-09  

3. hedge1-10  

4. hedge1-11  

5. hedge1-12  

6. hedge1-13  

7. manag1-1  

 

Email 4 includes the following 6 attachments  

1. manag1-2  

2. manag1-3  

3. manag1-4  

4. manag1-5  

5. manag1-6  

6. manag2-1  

 

Email 5 includes the following 3 attachments  

1. manag2-2  

2. manag2-3  

3. manag2-4  

 

Email 6 includes the following 13 attachments  

1. manag2-5  

2. manag3-1  

3. manag3-2  

4. manag5-1  

5. manag5-2  

6. manag5-3  

7. 76372703P001OF003  

8. 76372703P002OF003  

9. 76372703P003OF003  

10. 76545514P001OF003  

11. 76545514P002OF003  

12. 76545514P003OF003  

13. 76589481P001OF003  

 

Email 7 includes the following 35 attachments  

1. 76589481P002OF003  

2. 76589481P003OF003  

3. 78119639P001OF002  

4. 78119639P002OF002  

5. 78324119P001OF003  

6. 78324119P002OF003  

7. 78324119P003OF003  

8. 78349290P001OF002  

9. 78349290P002OF002  

10. 78394477P001OF003  

11. 78394477P002OF003  

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13. 78395441P001OF003  

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19. 78440632P001OF003  

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21. 78440632P003OF003  

22. 78445941P001OF002  

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24. 78475124P001OF003  

25. 78475124P002OF003  

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27. 78503813P001OF003  

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33. 78644555P001OF003  

34. 78644555P002OF003  

35. 78644555P003OF003  

 

Please ensure that you receive all of the aforementioned attachments, and if you do not, please contact the assigned-examining attorney.