james s. coon (oregon. sbn 7714.50) … · dostart clapp gordon & coveney, llp ... wendling and...

JAMES S. COON (Oregon. SBN 7714.50)jcoon@ste~law.com

SWANSON THOMAS & COON820 S.W. Second Avenue, Ste. 200Portland, Oregon 97204Tel: 503-228-5222Fax: 503-273-9175

JAMES F. CLAPP (Pro Hac Vice)[email protected] MURPHY LAUINGER (Pro Hac Vice)mlauingei'@sdlaw.comDOSTART CLAPP GORDON & COVENEY, LLP4370 La Jolla Village Drive, Suite 970San Diego, California 92122-1253Tel: 858-623-4200Fax: 858-623-4299

Plaintiffs' Liaison Counsel

UNITED STATES DISTRICT COURT

DISTRICT OF OREGON

JEFFREY POOLE, WINSOME P. CARTER,JAMES C. HOWELL, JEFFREY KEMP,ANDREA LAUGHLIN, HENRY V. M.MULTALA, ANTHONY PALUMBO, MARYO'REILLY, BURKHARD SPRING, DAVIDBACHRACH. PETER R. GARRISON,ROBERT TRAITZ, EDWARD FRANCE,EDWARD C. REINHART, MICHAELWENDLING and RICHARD J. TESTA, JR.,on behalfofthemselves, the general public, andall others similarly situated,

Plaintiffs,

vs.

MERRILL LYNCH, PIERCE, FENNER &SMITII INCORPORATED,

Defendant.

7280548.2

CASE NO. CV 06-1657 HA

_ORDER (1) ADOPTINGSPECIAL MASTER'S REPORT;(2) APPROVING SECOND AMENDMENTTO STIPULATION; (3) APPROVINGNOTICE OF CLASS ACTIONSEITLEMENT AND (4) SETTINGDEADLINES

Hon. Aneer 1. HaggertyCourtroom 13

[PROPOSED] ORDER ADOPTING SPECIAL MASTER'S REPORT AND SETTING DEADLINES

Case 3:06-cv-01657-HA Document 74 Filed 04/06/2009 of 31

The Court has reviewed plaintiffs' unopposed motion to approve the "Special Master's

Review of and Independent Recommendations Concerning the Fairness of the Parties Proposed

Allocation of Settlement Proceeds in Light of Applicable Law," dated February 11, 2009

("Report"), Docket No. 67.

The Court finds and orders as follows:

1. The Court has reviewed the Special Master's factual findings for clear error and

his legal conclusions de novo.

2. Plaintiffs' motion to adopt the Report is granted. The Court hereby adopts and

affirms the Report of the Special Master in its entirety.

3. The Court hereby approves the "Notice of Class Action Settlement" ("Notice"),

Claim Fonn, and Request for Exclusion Form, which are attached as Exhibit 1 to this Order. The

parties and the claims administrator are ordered to distribute the Notice as provided in the "Joint

Stipulation ofClass Action Settlement and Release" (IIStipulation"), Docket No. 52.

4. The Court hereby grants plaintiffs' request to approve the IISecond Amendment to

the Joint Stipulation of Class Action Settlement and Release/, Docket No. 68, to correetthe

statute of limitations for Class members who were employed in Oregon.

5. The parties have stipulated to, and the Court hereby orders, the following

schedule for the remainder ofthis case:

A. No later than sixty (60) days following entry of this Order, the claims

administrator shall mail the Notice, Claim Form, and Request for Exclusion Form to the Class

members as.provided in the Stipulation. The date of mailiilg shall be referred to as the IINotice

Mailing Date. II

B. Class members shall have until .ninety (90) days following the Notice

Mailing Date to postmark their Claim Form or Request for Exclusion Form, or to file and serve

any objection to the Settlement (''the Notice Response Deadline").

7280548.2 1[PROPOSED] ORDER ADOPTING SPECIAL MASTER'S REPORT AND SEITING DEADLINES


C. The Final Approval Hearing will be beld on the first available court date

that is at least 231 days (33 weeks) after the date of entry of this Order. The Court bereby

schedules the Final Approval Hearing for No.,e 111b.-r: ;,,30 ,2009 at j '..::tJf!-.m. in

Courtroom 13 ofthe above-captioned Court, the Hon. Ancer L. Haggerty presiding.

(i) Written objections by Class Members to the proposed settlement

will be considered only if received by the Court on or before the Notice Response Deadline;

(ii) At the Settlement Hearing, Class Members may be heard orally in

support of the settlement, or in opposition to the settlement, provided they submitted a timely

written objection on or before the Notice Response Deadline;

(ill) Class Counsel and counsel for Merrill Lynch should be prepared at

the bearing to respond to objections filed by Class Members and to provide other information, as

appropriate, bearing on whether or not the settlement should be approved.

D. Plaintiffs shall file and serve their motions for final approval of the

Settlement and for an award of attorneys' fees, litigation expenses, and class representative

enhancements no later than thirty (30) days before the Final Approval Hearing. Pursuant to

Local Rule 7.1(e), any opposition to these motions shall be filed within eleven (11) days after the

date of service of the motions, and any reply shall be filed within eleven (11) days after the date

ofservice ofthe opposition.

/I

/I

II

II

II

II

II

II

II

72805482 2[pROPOSED) ORDER ADOPTING SPECIAL MASTER'S REPORT AND SETTING DEADLINES


E. In the event that the Effective Date occurs, all Settlement Class Members

will be deemed to have forever released and discharged the Released Claims. In the event that

the Effective Date does not occur for any reason whatsoever, the Agreement shall be deemed

null and void and shall have no effect whatsoever. In such case; nothing in the Agreement or this

Order shall be relied upo~ cited as, constitute evidence of, or constitute an admission that class

certification or a collective action may be appropriate. The Agreement and the negotiations

leading to it shall not be admissible or referenced in any fashion if the Effective Date does not

occur.

IT IS SO ORDERED.

DATED: If--Io--- oq ,2009ANCER L. HA RTYi .United States District Court Judge

APPROVED AS TO FORM:

Dated: March 12, 2009

Dated:~arch12,2009

82841.1

DOSTART CLAPP GORDON & COVENEY, LLP

sl James F. ClappJAMES F. CLAPPAdmitted Pro Hac Vice(858) 623-4200Plaintiffs' Liaison Counsel

MUNGER, TOLLES & OLSON LLP

sf Terry E. SanchezTERRY E, SANCHEZAdmitted Pro Hac Vice(212) 683-9100Attorneys for Defendant

7280:>48.2 3[pROPOSED] ORDER ADOPTING SPECIAL MASTER'S REPORT AND SEITING DEADLINES



EXHIBITl

Case 3:06-cv-01657-HA Document 74 Filed 04/06/2009 Page 5 of 31


NOTICE OF CLASS ACTION SETTLEMENT

TO: ALL CURRENT AND FORMER EMPLOYEES OF MERRILL LYNCH, PIERCE, FENNER&. SMITH INCORPORATED ("MERRILLLYNCH") WHO WERE EMPLOYED BY MERRILLLYNCH ANYWHERE IN THE UNITED STATES,WASHINGTON, D.C. OR PUERTO RICO(EXCEPT CALIFORNIA) AS FINANCIAL ADVISORS, PROFESSIONAL DEVELOPMENTPROGRAM FINANCIAL ADVISORS, PATHS OF ACHIEVEMENT PROGRAM FINANCIALADVISORS, OR FINANCIAL ADVISOR TRAINEES (COLLECTIVELY REFERRED TO AS"FINANCIAL ADVISORS" OR "FAs!') DURING THE APPLICABLE "RECOVERY PERIOD"LISTED IN TABLE 1 BELOW:

THIS NOTICE MAY AFFECT YOUR RIGHTS. PLEASE READ IT CAREFULLY. THEFOLLOWING NOTICE EXPLAINS A SETTLEMENT OF DISPUTED CLAIMS. THECOURT HAS NOT EXPRESSED AN OPINION ON THE MERITS OF ANY CLAIM ORDEFENSE RAISED BY THE PARTIES.

I. INTRODUCTION AND SUMMARY OF UNDERLYING ACTION

This is to notify you ofa class action settlement ("Settlement tl) that was reached concerning

the compensation ofMerrill Lynch's Financial Advisors who were employed in the United States

(including Washington, D.C. and Puerto Rico, but excluding California). You received this Notice

because, according to Menill Lynch's records, you are a member of the proposed Class and are

eligible to participate in the Settlement.

This Notice will provide instructions on the options available to you. Inparticular, in Section

III below, this Notice will explain how you can either: (1) make a claim for payment under the

Settlement; (2) object to the Settlement; or (3) exclude yourself from the Settlement. Ifyou do

nothing in response to this Notice, you will be bound by tbe Settlement and judgment,

including the Release ofClaims described in Section lICE) below, but you will not receive any

settlement payment.

The attorneys for the Class ("Class Counsel") encourage you to read this Notice carefully and

to participate in the Settlement by submitting a Claim Form. Merrill Lynch takes no position as to

how you should respond, and your decision about whether ornot to participate in the Settlementwill

I7282180.2



have no effect on your relationship with the finn. Under federal law, you cannot be harassed or

retaliated against for making a claim under this Settlement.

In February 2006~ an action was filed in the U.S. District Court for the Eastern District of

Pennsylvania against Merrill Lynch on behalfofaputative class ofFiwmcial Advisors employed in

the State ofPennsylvania. Subsequently, ten (10) other putative class action lawsuits were filed

against Merrill Lynch in the U.S. District Courts for the Districts ofNew Jersey, the EasternDistrict

of New York, the Southern District ofNew York, the District of Oregon, the Eastern District of

Washington, and the Eastern District ofTexas.

IJ1 general, these lawsuits allege that Merrill Lynch should have paid its FAs overtime pay

because they do not qualify as "exempt" under the Fair Labor StandardsAct ("FLSA") orunder state

law. They also allege that Merrill Lynch took improper deductions from FA wages to pay for

various business-related expenses, such as trading errors or staff support, in violation ofstate law.

As part ofthis Settlement, the plaintiffs in these 1I lawsuits filed one consolidated action in

the United States District Court for the District ofOregon, Case No. CV-06-1657. These 11 lawsuits

and the Consolidated Action are collectively referred to as the "Litigation."

Merrill Lynch has reviewed the claims in detail, and ithas denied any wrongdoing or liability

in this matter. Specifically, Merrill Lynch denies that its FAs were miselassifiedas exemptor owed

any overtime and believes that the alleged "deductions" at issue are a permissible component in the

calculation ofincentive compensation. Merrill Lynch values its reputation as a responsible company

and employer, and it has worked with the plaintiffs and their counsel to resolve this matter and

resolve any possible questions and avoid the further expense and burden oflitigation pursuant to the

procedure set forth in this Notice.

Subject to Court approval, the parties have entered into asettlement agreement that provides

for the certification of a class consisting ofFAs for settlement purposes only.

27282780.2



II. DESCRIPTION OF THE SETTLEMENT

The most important terms ofthe Settlement are discussed below. A full copy ofthe IlJoint

Stipulation ofSettlement ofClassAction and Release" ("Stipulation")l as well as the amendments to

the Stipulation and other public documents filed in this matter, may be inspected in the Office ofthe

Court Clerk. Please see Section VI ofthis Notice for further details.

A. MaximUin Settlement Amount.

Merrill Lynch has agreed to pay up to $43,500,000 (the "MaximUDi Settlement Amountll) in

full and fmal settlement ofthe Litigation. The Maximum Settlement Amount will be used to pay the

timely and valid claims of the Class members, as well as all claims for attoI1leys' fees, litigation

expenses, class representative enhancements, and the costs of claims administration. Of the

Maximum Settlement Ampunt, $32,030,000 (the ''Net Settlement COIlSiderationU) has currently

been set aside to pay the claims ofthe Class members. Merrill Lynchhas guaranteed that, regardless

ofthe numberofClass members who file claims, Merrill Lynch will pay mit atleast 70% oftbe Net

Settlement Consideration to the Class members. Any amounts over this 70% guarantee that are not

claimed by the Class will be retained by Merrill Lynch.

B. Who Is Eligible to Make a Claim under the Settlement?

You are eligible to make a claim under the Settlement if you were employed by Merrill

Lynch as a Financial Advisor or Financial Consultant (including those Financial Advisors or

Financial Consultants who simultaneously perfonned some supervisory duties), PDP Financial

Advisor, POA Financial Advisor, or Financial Advisor Trainee (collectively, these positions are

referred to as "FAs") anywhere in the United States (including Washington, D.C. and Puerto Rico,

but excluding California) during the "Recovery Periods" listed in Table 1 below.

37282780.2


Case 3:06-cv-O1657-HA Document 72 Filed 03/12/?009 of 29

TABLEt

IfYou Were Employed as an FA In: Your Recovery Period Is:

Massachusetts September 24, 2001 throughDecember 31, 2007

Tbe approximate MinimumAmount You Will Receive PerlItQuaUfying Work Month lt Is:

$ 37.39 per month

New Jersey

New York

Oregon

Pennsylvania

Texas

looe 20, 2000 through December 31, $ 62.81 per month2007

May 5, 2000 through December 31, $ 62.81 per month2007

Nov.ember 16,2000 through $ 62.81 per monthDecember 31,2007

February 22, 2003 through $ 62.81 per monthDedeinbel' 31, 2007

October 26,2002 through December $ 37.39 per mOIith31,2007

Washington

Alaska, Hawaii, IndilUla, Iowa,Kentucky, Maine, Michigan, NewHampshire, Puerto Rico, RhodeIsland, South Dakota, Vermont, WestVirginia, Wyoming

Alabama, Arkansas, Arizona,Colorado, Connecticut, District ofColumbia, Delaware, Florida, Georgia,Idaho, Illinois, Kansas, Louisiana,Maryland, Minnesota, Missouri,Mississippi, Montana, North Catolina,North Dakota, Nebraska, NewMexico, Nevada, Ohio, Oklahoma;South Carolina, Tennessee, Utah,Virginia, Wisconsin

May 9, 2003 through December 31,2007

November 26, 2005 throughDecember 31, 2007

November 26, 2005 throughDecember 31, 2007

$, 62.8J per month

$ 62.81 per month

$ 37.39 per month

For purposes of Table 1, "Qualifying Work Month" means a calendar month during the

Recovery Period in which you were employed as an FA for at least one day.

1 This amount is an approximated minimum because it is based on the current estimated number ofwork months worked by Class members within the relevant Recovery Period. This amount may varysomewhat ifthe work months are greater or less than the current estimate.

47282780.z



C. Calculating Your Settlement Payment.

If you submit a timely and valid Claim Form (Form A, enclosed with this Notice) your

settlement payment will be based on (l) the number ofQua1ifying Work Months you were employed

by Merrill Lynch as an FA, and (2) the state(s) where you worked. For example, if you were

employed as an FA in Massachusetts for 20 Qualifying Work Months and as ail FA inNew YorkfOr

30 Qualifying Work Months, then using the payment rates in Table 1 above, your settlement

payment would be calculated as follows:

(20 months x $37.39) + (30 months x $62.81) = $2,632.10 (less taxes and withholding)

A portion of your settlement payment will be subject to required wage witbholdings and

deductions. Specifically, Merrill Lynch will report fifty percent (50%) of this payment to relevant

government entities as a wage payment, and the remainder as a non-wage payment. Merrill Lynch

reserves the right to make any required withholdings or deductions as required by applicable law,

and Class members should be advised that Merrill Lynch will report all payments made pursuant to

this Settlement to the Intemal Revenue Service and other relevant government entities (if any) as

required by law.

Class Members are advised to consult a licensed accountant or tax preparer before

participating in this settlement by submitting a claim fonn. Neither the Class Representative nor

Class Counsel nor Merrill Lynch makes any representations concerning the tax consequences ofthis

settlement or participation in it. and you should seek tax advice in association with your response to

this Notice.

D. Why Are the Payment Rates for Some States Higher than for Other States?

The parties have spent a great deal of time researching the laws of the 51 jurisdictions

covered by the Settlement. The parties agree that the laws of certain states are more favorable to

51282180.2


Case 3:06-cv-01657-HA Document 72 Filed 03112/2009 of 29

employees than the laws of other states. Furthermore, certain states allow for longer recovery

periods than other states.

The parties have agreed to an approach that they believe fairly allocates the settlement funds

among the jurisdictions covered by the Settlement. Oh.November 26,2008, at the parties' request,

the Court appointed the Hon. Edwin J. Peterson, retired ChiefJustice ofthe Oregon Supreme Court,

to make an independent recommendation to the Court about how to allocate the settlement funds.

The Court has preliminarily approved Justice Peterson's reconunendation. Table 1incorporates the

payment rates recommended by Justice Peterson.

E. Release ofClaims.

Unless you exclude yourselffrom ("opt out") the Settlement by submitting the Request for

ExclusionForm (Form B) included with this Notice, you will he subject to thejudgment and will be

precluded from bringing any "Released Claims" against Merrill Lynch or any of its affiliates

("Merrill Lynch Releasees") in the future.

lIReleased Claims" means any and all claims to the broadest extent permitted by law,

including unknown claims, demands, rights, liabilities and causes of action of every nature and

description whatsoever by a Class member relating to his or her employment with, or work for,

Merrill Lynch or any ofits predecessors, successots or affiliates, up to and including December 31,

2007, including, without linritation, statutory, constitutional, contractual or common law claims,

whether known or unknown, whether or not concealed or hidden, against the Merrill Lynch

Releasees, or any of them, for any type of relief, including without limitation claims for wages,

damages, deductions~ unpaid costs, penalties, liquidated damages, punitive damages, interest,

attorney fees, litigation costs, restitution~ or equitable relief, based on the following categories of

allegations:

672827&0.2



(1)(a) Any and aU claims under federal and/or sU!.te or any other law alleging

misclassification ofFinancial Advisors as exempt employees and/or violation ofpremiwn overtime

requirements, meal and rest period requirements, or any and all otherwage and hourrequirements as

to Financial Advisors, including without limitation:

(i) any and all claims alleging failure to pay overtime wages;

(li) any failure to provide meal andlor rest periods; and

(iii) any payroll or wage record-keeping ot itemization requirem,ents, including

without limitation any claims concerning time records, the timingofwage payments, or the manner

ofwage payments;

(b) Any and all associated claims on behalfofFinancial Advisors for penalties, including

without limitation liquidated and/or punitive damages; and

(c) Any and all associated claims on behalf of Financial Advisors for interest, costs,

attorney fees, equitable relief or other types of available recovery; and

(2)(a) Any and all claims allegingthe improper deduction from wages and/or imposition of

costs, losses or penalties for errors or mistakes on Financial Advisors, such as, but without

limitation, all claims relating to alleged improper trading error deductions, contributions to

settlements and/or the Merrill Lynch Error Policy;

(b) Any and all associated claims on behalfofFinancial Advisors for penalties, including

without limitation liquidated damages and/or punitive damages; and

(c) Any and all associated claims on behalf of Financial Advisors for interest, costs.

attorney fees, equitable relief or other types ofavailable recovery; and

(3)(a) Any and all claims for failure to reimburse or cover orpay for business costs incurred

by Financial Advisors, and/or for deductions from or adjustments to a Financial Advisor's

compensation associated with such business costs. including without limitation claims for

77282780.2



reimbursement ofcosts spent on orimposed for any type ofbusiness expenses or support staff, such

as, but without limitation, all claims relating to the Metrill Lynch FullySupported and Supplemental

Compensation Programs;

(b) Any and all associated claims onbehalfofFinancial Advisors forpenalties, including

without limitation liquidated and/or punitive damages; and

(c) Any and all associated claims on behalf of Financial Advisors for interest, costs,

attorneys' fees, equitable relief or other types ofavailable recovery.

"Released Claims" extends to claims under state and federal stamtesandcommonlaw as well

as any other theories, and the release ofknown of unknown claims set forth herein shall waive all

statutory protections otherwise preventing the waiver of such unknown claims. Released Claims

include claims meeting the above definition under any and all applicable statutes, up to and

including December 31,2007.. including without limitation the federal FairLaborStandards Act, the

Portal to Portal Act, and the statutes identified in Appendix 1. Notwithstanding the foregoing,

Released Claims does not include any individual claims arising under the FLSA as to Class members

who do not opt-in to the Settlement by subniitting a Claim Fonn, to the extent that opting in would

be required to waive such FLSA claims. Nonetheless, Class members who neither submit a timely

Claim Form nor a timely Request for Exclusion Farm will forfeit, release, and waive all rights to

bring or participate in a collective or class action under the FLSA against the Merrill Lynch

Releasees for any such FLSA claim accruing before December 31, 2007, though. said individuals

will retain the right to pursue an individual action under the FLSA. IIReleased Claims" does not

include employment discriniination claims arising under the Equal Pay Act, Title VII ofthe Civil

Rights Act of 1964, the Age Discrimination In Employment Act, the Americans With Disabilities

Act or state statutes prohibiting discrimination in employment. IIReleased Claims" also does not

87282780.2


Case 3:06-cv-01657~HA Document 72 Filed 03/12/2009 of 29

include any claim for retaliation against Merrill Lynch by a Financial Advisor for his or her

participation in this Settlemen.t.

F. Attorneys! Fees, Litigation Expenses, and Enhancements.

Class Counsel will ask the Court to award them attorneys' fees ofup to25% ofthe Maximum

Settlement Amount, or $10;875,000, plus up to $125,000 in litigation expenses they incurred on

behalf of the Class. In addition, Class Counsel will ask the Court to award each ofthe 16 Class

Representatives up to $20,000 each as an 'Ienhancementaward" for the time they spent, and the risk

they undertook, in bringing the Litigation on behalfofthe Class. All ofthese amounts are subject to

Court approval. To the extent thatthe Court ultimately awards attorneys' fees, litigation expenses

and/or enhancement payments in amoWlts lower than those set forth above, the remainder will be

added to the Net Settlement Consideration. It is estimated that the cost of claim administration

should not exceed $150,OOOwhich will be taken from the Maximum Settlement Amount. To the

extent that the claims administration costs exceed $150,000 the excess will be subtracted from the

Net Settlement Consideration.

llI. YOUR RIGHTS AS A CLASS MEMBER

You have four options under this Settlement. each ofwhich is discussed below. You may:

(1) remain in the Class and make a claim for payment under the Settlement; or (2) remain in the

Class and obj'ect to the Settlement; or (3) exclude yourselffrom the Class and from the Settlement;

or (4) do nothing.

Ifyou remain in the Class, you will be represented at no cost to yourselfby Class Counsel.

Class Counsel cannot represent you ifyou choose to object to any aspectofthe Settlement. You may

retain counsel at your owh expense to represent you ifyou wish.

9n82780.2


Case3:06-cv-01657-HA Document 72 Filed 03/12/2009 of 29

A. To Claim Money Under the Settlement:

Ifyou wish to remain in the Class and make a claim for payment under the Settlement, you

must complete the enclosed Claim Form (Form A) andretum it by mail to the Claims Administrator

at the following address:

Rust Consultin.g Inc.

Re: PooleIMerrill Lynch Matter

P.O. Box _

Minneapolis, MN 55440-9407

In order to be valid, your Claim Form must be postmarked no later than [the Notice Response

Date]. Ifyour Claim Form is not postmarked by that date, you will notreceive anypayment but you

will be bound by the Settlement, the associated judgment, and the Release ofClaims described in

Section II(E) above. Ifthe Claim Form is Sent from within the United States, it must be sentthrough

the United States Postal Service by first class U.S. Mail or the equivalent. Do not use a postage

meter because that may not result in a postmark appearing on the envelope containing your Claim

Form. If you lose, misplace, or require another Claim Form, you should contact the Claims

Administrator as set forth above.

The number ofQualifying Work Months you were employed as an FA by Merrill Lynch is

pre--printedon the enclosed Claim Form. That information was taken from Merrill Lynch's

personnel records. I{you dispute the number ofQualifying WorkMonths pre-printed on the Claim

Form, you must write the correct number ofQualifying Work Months on the Claim Form and attach

pay stubs or similar documents that verify your dates ofemployment at Merrill Lynch and/or office

location. Please be advised that Merrill Lynch's persOIUlel records are presumed to be accurate

unless you prove otherwise. Any disputes regarding the number ofwork months you worked will be

1072827&0.2



decided by the neutral claims administrator and its decision will be final, binding and not subject to

review by or appeal to the courts.

By submitting a Claim Form, you also choose to opt into the Litigation for purposes of the

FLSA and, hence, release all rights arising linder the FLSA.

B. To Object to the Settlement:

Ifyou disagree with any part ofthe Settlement, you may object to the Settlement, providing

that you do not opt out of the Settlement. To object, you must file a written objection that clearly

explains the basis for your objection and file that objection in the Office ofthe Clerk, United StateS

District Court for the District of Oregon, Mark O. Hatfield U.S. Courthouse, 1000 S.W. Third

Avenue, Portland, OR 97204-2902, on or before [Notice Response Date], with copies to the

following attorneys::

PLAINTIFFS' LIAISON COUNSEL

James F. Clapp, Esq.Dostart Clapp Gordon & Coveney, LLP4370 La Jolla Village Dr Ste. 970San Diego, CA 92122Tel. (858) 623-4200Fax. (858) 623-4299

MERRILL LYNCHS COUNSEL

Terry E. Sanchez, Esq.Munger Tolles & Olson, LLP355 S. Grand Avenue, 35th FloorLos Angeles, CA 90071-1560Tel. (213) 683-9100Fax. (213) 687-3702

Ifyou file a timely written objection to the Settlement, you or your attorney may also appear

in Court to argue your objection at the Final Approval Hearing. The date, time, and place of the

Final Approval Hearing are listed in Section IV below. Unless you file a timely written obje.ction,

you will not be allowed to argue an objection at the Final Approval Hearing.

Ifyou intend to object to the Settlement but wish to receive your share ofthe Settlement ifit

is approved, you must file a timely and valid Claim Fonn under Section m(A) above.

C. To Exclude Yourselffrom the Settlement:

117282780.2


Case 3:06-cv~01657-HA Document 72 Filed 03/12/2009 of 29

Ifyou do not wish to participate in the Settlement, you may exclude yourself("opt outll) by

signing and returning the enclosed Request for Exclusion Form (Form B) to the Claims

Administrator at the address listed in SectionIII(A) above. To be valid, the Request for Exclusion

Form must be postmarked no later than [the Notice Response Date]. Jfyou submit a Request for

Exclusion Form after that date, your Request for Exclusion Form will be rejected and you will be

bound by the Settlement, the asSOciated judgment, and the Release ofClaims. If the Request for

Exclusion Form is sent from within the United States, it must be sent through the United States

Postal Service by first class U.s. Mail, or the equivalent. Do not use a postage meter as that may not

result in a postmark appearing onthe envelope containing your Request for Exclusion Form. Ifyou

submit a complete and timely Request for Exclusion Form, you will no longer be a member ofthe

Class and will receive no benefits under the Settlement, but you will retain claims, ifany, you may

have against Merrill Lynch. Do not submit both a Claim Form. and a :Request for Exclusion Form.

D. Doing Nothing.

Jfyou do nothing and the Courtapproves the Settlement, you will be bound by the terms of

the Settlement, including the associated judgment and the Release of Claims, but you will not

receive any money under the Settlement. You will retain, however, the right, if any, to file an

individual claim arising under the FLSA but not collective or class action under that statute.

IV. THE FINAL APPROVAL HEARING.

A hearing has been scheduled for )2009 at __ a.m.lp.m. in the

U.S. District Court for the District of Oregon before the Hon. Ancer L. Haggerty. The Court is

located at 1000 S.W. Third Avenue, Portland, OR 97204-2902. At the hearing, the Court will

consider whether to grant final approval to the Settlement and will rule on Class Counsel's request

for attorneys' fees. litigation expenses, and class representative enhancements. You may, but are not

required to, attend the hearing.

127W780.2


Case 3:06-cv-Q1657-HA Document 72 Filed 03/12/2009 of 29

V. CORRECfIONS TO NAME OR ADDRESS.

If you wish to change any of your contact infonnation, please contact the Claims

Administrator at the address or telephone number listed in Section m(A) above.

VI. ADDmONAL INFORMATION.

Members ofthe public, including those whose rightsmay be affected bythisSettlement, may

inspect the files in this matter at the Office ofthe Court Clerk at the following address: Office ofthe

Clerk, U.S. District Court for the District ofOregon, MarkO. Hatfield U.S. Courthouse, 1000 S.W.

Third Avenue, Portlan.d, OR 97204..;2902.

If you have any questions regarding the Settlement, you may contact the Claims

Administrator at or the designated contact counsel for Class Counsel,

Stephen P. DeNittis. at 856-797-9951.

PLEASE DO NOT CALL OR WRITE THE COURT ABOUT THIS NOTICE.

137282780.2



FORMA

CLAIM FORM

THE DEADLINE FOR RETURNING TmS FORM IS--------Pursuant to Section III(A) of the Notice, I hereby declare and certify that I am eligible to

participate in this Settlement because:

1. I was eIIlployedby Merrill Lynch as either (i) a Financial Advisor or Financial

Consultant (including those who simultaneously perfoltn some supervisory duties); (ii) a Financial

Advisor in the Professional Development Program or "PDP" program; (iii) a Financial Advisor in

the Paths of Achievement Program or "POA program"; and/or (iv) a Financial Advisor Trainee

(collectively these positions are referred to as "FAs") in the United States (including Washington,

D.C. and Puerto Rico, but exCluding California) at some point during the applicable "Recovery

Period" listed in Table 1 ofthe Notice.

2. I received and have read the Notice of Class Action Settlement ("Notice").

3. While employed by Merrill Lynch as a FA during the applicable Recovery Period, I

regularly or occasionallyworked over 40 hours perweek and/or I incurred business..related expenses

(such as trade errors or the cost of staff support) for which I did not receive reimbursement from

Merrill Lynch.

4. I understand that, by submitting this Claim Form, I will be subjectto the Settlement,

the associated judgment, and the Release of Claims described in Section II(E) ofthe Notice, and I

will be precluded from pursuing any Released Claims as defined in Section lI(E) ofthe Notice.

S. I understand that,by signing this Claim Fonn, I consent to join the above-referenced

lawsuitpursuant to 29 U.S.C. § 216(b) (the Fair Labor Standards Act) for the purpose ofreceiving

my share of the Settlement, and by doing so, I am releasing all Released Claims I have against the

147282180.2


Case 3:06-cv-01657-HA Document 72 Filed 03/12/2009 Pag.e 20 of 29

Merrill Lynch Releasees, including those arisingunder the FairLabor Standards Act up to December

31,2007.

6. I understand that Merrill Lynch's personnel records state that I was employed as an

FAin each ofthe following jurisdictions for the Qualifying Work Months listed below:

State/Jurisdiction Qualifying Work Months During the Applicable Recovery Period

I understand that if I disagree with the number of Qualifying Work Months listed

above, I should write the correct number of Qualifying Work Months in the blank table below and

attach pay stubs or other documents to verify my correctdates ofemployment and/or office location.

(Remember that time worked in California is excluded.) Iunderstand that Merrill Lynch'spersonnel

records are presumed to be accurate unless I prove otherwise. If I agree with the number of

Qualifying Work Months listed above, I should leave the table below blank.

State/Jurisdiction Qualifying Work Months During the Applicable Recovery Period

157282780.2


Case 3:06-cv-Q1657-I-fA Document 72 Filed 03/121?009 of 29

7. I Wlderstand that the deadline for postmarking this Claim Fonn is

________. I should return this Claim Ponn by mail to the Claims Administrator,

whose address is:

Rust Consulting Inc.

Re: PooleIMerrill Lynch Matter

P.O. Box _

Minneapolis, MN 55440-9407

I declare under penalty of perjury under the laws ofthe United States that the· foregoing is

true and correct.

Dated: _

7282780.2

[SIGNATURE]

[PRINT NAME]

[STREET ADDRESS]

[CITY, STATE, ZIP]

[HOME TELEPHONE NUMBER]

[SOCIAL SECURITY NUMBER]

16



FORMB

REQUEST FOR EXCLUSION FORM

THE DEADLINE FOR RETURNING THIS FORM IS ---.:

PLEASE DO NOT SUBMIT TmS FORM IF YOU WISH TO RECEIVE MONEY

UNDER THE SETTLEMENT.

Pursuant to SectionIIl(C) ofthe Notice ofClass Action Settlement, I hereby excludemyself

("opt outll) ofthe Class and the Settlement. I understand that, by exercising this option, I will not

receive any money under the Settlement, but I will retain whatever rights I may have, ifany, against

Merrill Lynch, including the right to assert the Released Claims (as defined in Section 1I(E) of the

Notice}.

I declare under penalty ofperjury under the laws ofthe United States that the foregoing is

true and correct.

Dated: _[SIGNATURE]

[pRINT NAME]

[STREET ADDRESS]

[CITY, STATE, ZIP]

fROME TELEPHONE NUMBER]

[SOCIAL SECURITY NUMBER]32842.1

177282780.2


Case 3:06"cv-01657-~A Document 72 Filed 03/121?009 of 29

APPENDIX NO.1

STATE STATE STATUTORY CLAIMS RELEASED

ALABAMA NONE

ALASKA ALASKA WAGE & HOUR ACT: ALASKA STAT.§§23.10.050To23.l0.l50ALASKA STAT. §§ 23.05.140, 23.05.180 TO 23.05.260ALASKA ADMIN. CODE TIT. 8, §§ 15.100, 15.160

ARIZONA ARIz. REV. STAT. §§ 23~350 TO 23-361

ARKANSAS MINIMUM WAGE ACTOF ARKANSAS: ARK. CODE ANN. §§ 11-4-201 etseq.

COLORADO COLORADO WAGE CLAIMAcr: COLO. REv. STAT. § 8-4-101 et seq.COLORADO MINIMUM WAGES OF WORKERS ACT: COLO. REv. STAT. ANN.§ 8-6-101 et seq.COL. REv. STAT. ANN. § 8-9-101 TO 8-9-107COLORADO MIN1MUM WAGE ORDER NUMBER 23: 7COLO. CODE REos. §1103-1

CONNECTICUT CONN. GEN. STAT. § 31-13aCONN. GEN. STAT. § 31-60, 31-66, 31-68, 31-69, 31-69aCONN. GEN. STAT. §§ 31-71a- 31-71g, 31-72, 31-76 TO 31-76cCONN. AGENCIES REGS. §§ 31-71h~1 to 31-71h-6

DELAWARE WAGEPAYMENT & COLLECTION ACT: DEL. CODE ANN. TIT. 19 §§ 1101 etseq.

DISTRICT OF MINIMUM WAGE LAW: D.C. ST. §§ 32-1001 et seq.COLUMBIA PAYMENT & COLLECTION OF WAGES: D.C. ST. §§ 32-1301 et seq.

FLORIDA NONE

3859339.3


Case 3:06-cv-Q1657-HA Document 72 Filed 03/12/2009 of 29

,

GEORGIA GEORGIA MINIMUM WAGE LAW: GA. CODE ANN. § 344-1 et seq.GA. CODE ANN. § 9-3-22

HAWAI'I WAGE AND HOUR LAW: HAW. REv. STAT. §§ 387-1) 387';3, 3&7-6,387-7,387-12HAW. REv. STAT. ANN. §§ 388-1 et seq.HAW. ADMIN. ROLES § 12-20-8

IDAHO lDAHoHOURsWORKEDAcT: IDAHO CODE ANN. §§44-1201 etseq.IDAHO CODE ANN. §§ 45-601 TO 45-621

ILLINOIS MINIMUM WAGE LAW: 820 ILCS 10514 TO 820 ILCS 105/15ILLINOISWAGEPAYMENT&COLLECTIONAcT: 820ILCS 115/1 etseq.ILL. ADMIN. CODE nT. 56 §§ 210.400 TO 210.440ILL. ADMIN. CODE TIT. 56 § 210.700ILL. ADMIN. CODE TIT. 56 §§ 210.10001'0210.1050SJXDAYWEEKLAw: ILL. ADMIN. CODE. TIT. 56 §§ 220.100 et seq.

INDIANA MINIMUM WAGE LAW OF 1965: IND. CODE §§ 22-2-2-2 et seq.IND. CODE §§ 22-2-5-1 TO 22-2-5-2IND. CODE §§ 22-2-6-1 TO 22-2-64IND. CODE §§ 22-2-7-1 TO 22-2-7-8IND. CODE §22-2-8-1IND. CODE § 22-2-9-1 TO 22-2-9-7IND. ADMIN. CODE TIT. 610R. 6-2-1 TO 6-2-6

IOWA IOWA WAGE PAYMENT COLLECTION ACT: IOWA CODE ANN. § 91A.l etseq.

KANSAS MINIMUM WAGE &MAXlMUMHoURS LAW: KAN. STAT. ANN. §§ 44-1201TO 44-1213WAGE PAYMENT ACT: KAN STAT. ANN. § 44-313 TO 44-327KAN. ADMINREos. §§ 49-20-1 TO 49-21-4 'KAN. ADMIN. REos. §§ 49-31-6, 49-31-7,49-31-9

3859339.3


Case 3:06-cv-01657-YA Document 72 Filed 03/12//()09 of 29

KENTUCKY Ky. REv. STAT. ANN. §§ 337.01Ot 337.020t, 337.050t 337.055t 337.060,337.070,337.075,337.285, 337.320t 337.385. 337.990803 Ky. ADMIN. REGs. 1:060, 1:065, 1:070, 1:075

LOUISIANA LA. REv. STAT. ANN. §§ 23:633 TO 23-636

MAINE ME. REv. STAT. ANN. TIT. 26 §§ 603 t 621-A,622, 623, 626t 626A,627,629,635,663,664,670,67112·170 CODE OF MAINE RULES CR. 16, § IV

MARYLAND MARYLAND WAGE & HOUR LAW: MD. CODE ANN. t LAB. & EMPL. §§ 3-415, 3-420, 3-424 TO 3-428MARYLAND WAGE PAYMENT & COLLECTION LAW: MD. CODE ANN., LAB.& EMPL. §§ 3·502 TO 3-509

MASSACHUSETTS MASS. GEN. LAWS ANN. 149 §§ 148 TO 150CMINIMUM FAIR WAGELAW: MASS. GEN. LAWS ANN. 151 §§ 1A TO 22MAss. GEN. LAWS ANN. 154 §§ 1 TO 8455 CODE OF MAss. REGs. 2.01,2.02,2.04,2.06,2.07

MICIDGAN MINIMUM WAGE LAW OF 1964: M.e.L.A. §§ 408.381 etseq.WAGES & FRINGE BENEFITS ACT: M.C.L.A. §§ 408.471 TO 408.489MICH. ADMIN. CODE RULES 408.701,408.702,408.706MICH. ADMIN. CODE RULES 408.721 TO 408.723

MINNESOTA MINNESOTA FAlR LABOR STANDARDS ACT: MIN. STAT. ANN. §§ 177.21TO 177.35MINN. STAT~ ANN. §§ 18l.03 TO 181.171MINN. STAT. ANN. § 181.79MINN. RULES S200.0090TO 5200.0180

MISSISSIPPI NONE

MISSOURI Mo. REv. STAT.§§ 290.080, 290.100,290.110MINIMUM WAGE LAW: Mo. REv. STAT. §§ 290.500 TO 290.5308 Mo. CODE OF STATE REGS. 304.010

3859339.3


Case 3:06-cv-D1657~HA Document 72 Filed 03/12/2009 of 29

MONTANA MONT. CODE ANN. § 39~3-101

MONT. COD£ ANN.. §§ 39~3~201 TO 39-3-217MONT. CODE ANN. §§ 39-3-401 TO 39-3408THE RECIPROCAL AGREEMENT FOR COLLECTION OF WAGES ACT OF 1977:MONT. CODE ANN. §39-3-301 et seq.MONT. AOMIN. R. 24.16.2501 TO 24.16.2551MONT. ADMIN. R. 24.16.6101, 24.16.6102MONT. ADMIN. R. 24.16.7501 ro24.16.7547

NEBRASKA NEBRASKA WAGE PAYMENT & COLLECTION ACT: NEB. REv. STAT. §§48-1228 T048-1232NEB. ADMIN. R. & REGS. TIT. 221, CH. 1§§ 001-003

NEVADA NEV. REv. STAT §§ 608.007ro 608.016NEV. REv. STAT §§ 608.018 TO 608.140NEV. REv. STAT. § 616D.240NEV. ADMIN. CODE §§ 608.050 TO 608.125,608.140, 608.155. 608.160

NEW HAMPSHlRE N.H. REv. STAT. ANN. §§ 275.32, 275.33N.H. REv. STAT. ANN. §§ 275.42 TO 275.55N.H. REv. STAT. ANN. §§ 275.57, 279.27N.H. CODEADMJN. RULES ANN. LAB. 803.02 TO 803.05

NEW JERSEY N.J. STAT. ANN. §§ 34:11-3 TO 34:11-4.14NEW JERSEY STATE WAGE & HOUR LAW: N.J. STAT. ANN.§§ 34-11-56alet seq.NEW JERSEY STATE WAOE COLLECTION LAW: N.J. STAT. ANN. §§ 34-11-57 TO 34-11-67N.J.A.C. §§ 12:5S~2.1 TO 12:55-2.4N.J.A.C. §§ 12:56-4.1, 12:56-5.1~ 12:56-5.2, 12:56-5.4N.J.A.C. §§ 12:56-6.1 TO 12:56-6.7

NEW MEXICO N.M. STAT. ANN. §§ 50-4-1 TO 50-4-12, 50-4-14, 50-4-16MINIMUM WAGE ACT: N.M. STAT. ANN. §§ 50-4-20 TO 50-4-30

NEW YORK N.Y. LAB. LAW §§ 190, 191, 193, 195,196, 196a, 198 TO 19912N.Y.C;C.R. §§ 142-2.2 TO 142-2.1012 N.Y.C.C.R. § 195.1

38593393


Case 3:06-cv-01657~HA Document 72 Filed 03/12/2009 of 29

NORTH CAROLINA WAGE AND HOUR ACT: N.C. GEN. STAT. § 95-25.1 et seq.13 N.C. ADMIN CODE §§ 12.0304, 12.0305, 12.0308~ 12.0601 t 12.0801,12.802~ 12.805, 12.0807

NORTIIDAKOTA TITLE 34 OF THE NOf{TH DAKOTA CENTtJRY CODE, CHAPTER S 6 &, 14THE NORTH DAKOTA MINIMUM WAGE AND WOf{K CONDITIONS ORDER:N.D. ADMIN CODE § 46-02-07N.D. ADMIN CODE § 46~03-01-01

OHIO OH. REv, CODE ANN. §§ 4111.03, 4111.08, 4111.10,4111.13,4113.15,4113.16

OKLAHOMA OKLAHOMA PAYDAY ACT: OKLA. STAT. TIT. 40, §§ 165.1 TO 165.11380 OKLA, ADMIN CODE, ClIAP1'ER 30

OREGON OR. REv. STAT. §§ 652.120,652.140,652.150,652.160,652.200,652.230,652.240OR. REv. STAT. §§ 652.310 TO 652.405OR. REv. STAT.§§ 652.610T0652.620OR. REv. STAT. §§ 653.045~653.055,653.261OR. ADMIN. R. 839.,020~0030AND 839-020~OO40

OR. ADMIN. R. 839-020-1000 AND 839-020-1020

PENNSYLVANIA MINIMUM WAGE ACT OF 1968: 43 PA. STAT. ANN. § 333.101 et seq.WAGE PAYMENT &, COLLECTION ACT: 43 PA. STAT. ANN. §260.1 et seq.43 PA. STAT.-ANN.§§ 271, 27243 PA. STAT. ANN. §§ 251 TO 255.334 P.A. CODE §§ 9.1 TO 9.334 P.A. CODE §§ 231.31,231.36,231.41 TO 231.43

PUERTO RICO P.R. LAWS ANN. TIT. 29 §§ 171 TO 177P.R. LAWS ANN. TIT. 29 §§ 250 TO 250jP.R. LAWS ANN. TIT. 29 §§ 271 TO 290, 295 TO 299

3859339.3



RHODE ISLAND R.I. GEN. LAW§§ 28..124.1 TO 28-12-4.4,28-12-12, 28-12-17, 28-12-18,28-12-19,28-12-20R.L GEN. LAW §§ 28-14-1 TO 28-14-30R.I. GEN. LAW § 28-15-1 TO 28-15-9R.I. CODE R.. 16 020 007

SOUTH CAROLINA PAYMENT OF WAGES ACT: S.C. CODE ANN. §§ 41-10-10 etseq.S.C. CODE ANN. §§ 39-65-10 et seq.

SOUTH DAKOTA S.D. CODIFIED LAW §§ 60-2-1, 60-2-2, 60-2-3S.D. CODIFIED LAW §§ 60-11-7, 60-11-10,60-11-11,60-11-13,60-11-17,60-11-18,60-11-19, 60-11-20TO 60-11-24

TENNESSEE WAGEREGULATIONAcT: TENN. CODE ANN. §§ 50-2-101 et seq.

TEXAS TEXAS PAYDAY ACT: TEx. LAB. CODE ANN. §§ 61.001 et seq.

UTAH UTAH PAYMENT OF WAGES ACT: UTAH CODE ANN. §§ 34-28-1 TO 34-28-14UTAH CODE ANN. § 34.;27-1UTAH ADMIN. R.610-3

VERMONT VT. STAT. ANN., TIT. 21, §§ 341 TO 347VT. STAT. ANN., TIT. 21, §§ 381-395VT. CODE R. 24 090 003

U.S. VIRGIN V.I. STAT. ANN. TIT. 24 §§ 14,16,17,20ISLANDS

VIRGINIA VA. CODE ANN. §§ 40-1-29 TO 40-1-33

3859339.3



WASHINGTON WASHINGTON MINIMUM WAGE ACT: WASH. REv. CODe §§ 49.46.005 etseq.WASH. REV. CODE §§ 49.48.010 TO 49.48.190WASH. REv. CODE §§ 49-52-050 TO 49-52-080WASH. ADMIN. CODE 296-126-023 TO 296-126-050WASH. ADMIN. CODE 296-126-090,296-126-226

WEST VIRGINIA WAGEPAYMENTANOCOLLECTIONACT: W.VA. CODE ANN. §§21-5-1 etseq.W.VA. CODE ANN. §§ 21-5C-l TO 21-5C,.11W. VA. CODE ST. R. §§ 42-5-1 TO 42-5-17W.VA. CODE St. R. §§ 42-8-11'042-8-13

WISCONSIN WIS. STAT. ANN. §§ 103.001 TO 103.03,103.455,103.457WIS. STAT. ANN. §§ 109.01 TO 109.11WIS. ADMIN. CODE §§ 274.01 1'0274.07

WYQMING WY. STAT. ANN. §§ 27~4-1O-1 1'027-4-105,27-4-1101'027-4-112WY. STAT. ANN. §§ 27-4-501 TO 27-4-508

3859339.3


Case 3:06-cv-'01657-HA Document 72-2 Filed 03/12/2009 Page 1 of 2

PROOF OF SERVICE

STATE OF CALIFORNIA, COUNTY OF SAN DIEGO

At the time of service, I was over 18 years of age and not a party to this action. I amemployed in the County ofSan Diego, State ofCalifornia. My business address is 4370 La JollaVillage Drive, Suite 970, San Diego, California.92122-1253.

On March 12,2009, I served true copies of the following document(s) descnbed as

[PROPOSEDl ORDER (1) ADOPTING SPECIAL MASTER'S REPORT; (1)APPROVING SECOND AMENDMENT TO STIPULATION; (3) APPROVING NOTICEOF CLASS ACTION SETTLEMENT AND (4) SETTING DEADLINES

on the interested parties in this action as follows:

SEE ATTACHED SERVICE LIST

BY CMlECF NOTICE OF ELECTRONIC FILING: I caused said document(s) to be servedby means of this Court's electronic transmission of the Notice of Electronic Filing through theCourt's transmission facilities, to the parties and/or counsel who are registered CM/BCF Usersset forth in the service list obtained from this Court.

I declare under penalty ofperjury under the laws ofthe United States ofAmerica that theforegoing is true and correct and that I am employed in the office ofa member of the bar of thisCourt at whose direction the service was made.

Executed on March 12, 2009, at San Diego, California


Case 3:06-cv-Q1657-HA Document 72-2 Filed 03/12/2009 Page 2 of 2

James S. Coon, Esq.SWANSON THOMAS & COON820 S.W. Second Avenue, Suite 200Portland, OR 97204Email: [email protected] PlaintiffPoole

SERVICE LISTPoole v. Merrill LynchCase No. 06-1657 HA

Jerry K.. Cimmet, Esq.177 Bovet Road, Suite 600San Mateo, CA 94402Email: cimrnet~attnetAttorney for Plaintiffs Carter, Howell; Kemp,

Loughlin, Multala, Spring and Traitz

Megan B. Annand, Esq.6101 Griffin LaneMedford, OR 97501Ernail:rnegananDan~aolcorn

Attorney for Plaintiffs Carter, Howell, Kemp,Loughlin, Multala, Spring and Traitz

Terry E. Sanchez, Esq.MalcolmA Heinicke, Esq.Katherine M. Forster, Esq.MUNGER, TOLLES & OLSON, LLP335 South Grand Avenue, 35th FloorLos Angeles, CA 90071Email: [email protected]

[email protected]@mto.com

Attorneysfor Defendant Merrill Lynch, Pierce,Fenner &Smith Incorporated

Philip Stephen Fuoco, Esq.Joseph Osefchen, Esq.LAW FIRM OF PIflLIP STEPHEN FUOCO24 Wilkins PlaceHaddonfield, NJ 08033Email: [email protected] PlaintiffFrance

Leigh Ann Collitigs Tift, Esq.LITTLER MENDELSONOne Union Square600 University Street, Suite 320Seattle, WA 98101-3122Email: ltift~littler.com

Attorneysfor Defendant Merrill Lynch, Pierce,Fenner & Smith Incorporated

Kenneth Lehn, Esq.Edward P. D'Alessio, Esq.WINNE, BANTA, HETHERINGTON,

BASRALIAN & KAHN, p.e.Court Plaza South21 Main StreetP.O. Box 647Hackensack, NJ 07601Email: [email protected] for ~laintiffS Carter: Howell, K~p,

Loughlm, Milltala, Spnng and TraIn

Nonnan ShaOOl, Esq.Stephen P. Denittis, Esq.SHABEL & DENITTIS, P.C.5 Greentree Centre, Suite 302Marlton, NJ 08053Email: [email protected] PlaintiffFrance


james s. coon (oregon. sbn 7714.50) … · dostart clapp gordon & coveney, llp ... wendling and...

Documents