Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-2_09-cv-03049/USCOURTS-caed-2_09-cv-03049-4/pdf.json

Nature of Suit Code: 790
Nature of Suit: Other Labor Litigation
Cause of Action: 28:1332 Diversity-Petition for Removal

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STIPULATION RE JOINT STATUS STATEMENT; ORDER 

CASE NO. CIV S-09-03049 FCD-GGH 

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William P. Torngren (Cal. Bar No. 58493)

LAW OFFICES OF WILLIAM P. TORNGREN

117 J Street, Suite 300 

Sacramento, California 95814 

Telephone: (916) 554-6447 

Facsimile: (916) 554-6445 

E-mail: Torngren@TorngrenLaw.com

Scot D. Bernstein (Cal. Bar No. 94915) 

LAW OFFICES OF SCOT D. BERNSTEIN 

A Professional Corporation

101 Parkshore Drive, Suite 100 

Folsom, California 95630 

Telephone: (916) 447-0100 

Facsimile: (916) 933-5533 

E-mail: swampadero@sbernsteinlaw.com

Attorneys for Plaintiff 

UNITED STATES DISTRICT COURT 

EASTERN DISTRICT OF CALIFORNIA 

ERIC B. BATES, on behalf of himself, all 

others similarly situated, the general 

public, and as an “aggrieved employee” 

under the California Labor Code Private 

Attorneys General Act, 

Plaintiff, 

vs. 

MORGAN STANLEY SMITH BARNEY 

LLC, a limited liability company, 

CITIGROUP GLOBAL MARKETS INC. a 

corporation formerly doing business as 

SMITH BARNEY, CITIGROUP GLOBAL 

MARKETS HOLDINGS, INC., a 

corporation, and DOES 1 through 50, 

inclusive, 

Defendants. 

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Case No. CIV S-09-03049 FCD-GGH

STIPULATION RE JOINT STATUS 

STATEMENT; ORDER

Action Filed: August 21, 2009

Case 2:09-cv-03049-FCD-GGH Document 34 Filed 08/04/10 Page 1 of 3
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STIPULATION RE JOINT STATUS STATEMENT; ORDER 

CASE NO. CIV S-09-03049 FCD-GGH 

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Plaintiff ERIC B. BATES and Defendants MORGAN STANLEY SMITH 

BARNEY LLC, CITIGROUP GLOBAL MARKETS INC. f/k/a SMITH BARNEY, and 

CITIGROUP GLOBAL MARKETS HOLDINGS, INC. (collectively referred to herein as 

“CGMI”), through their respective counsel of record, enter into the following Stipulation 

with reference to the following facts: 

A. This case previously was related to Carl R. Wright v. RBC Capital 

Markets Corporation, No. CIV S-09-3601 FCD GGH (“the Wright case”). 

B. On June 24, 2010, the Court entered its Memorandum and Order in 

the Wright case whereby certain claims were dismissed, certain claims were stayed 

pending resolution of arbitration claims, and defendant was to answer the remaining 

claims. 

C. Earlier, the parties in the Bates case stipulated and the Court 

entered an order of that stipulation as to discovery, initial disclosures, and potential 

amendment of the complaint. On May 19, 2010 (Document No. 16), the Court extended 

the time for the parties in the Bates case to file their Joint Status Report to six weeks 

after the Court issued its ruling on the motions in the Wright case. 

D. On June 24, 2010, defendant Morgan Stanley Smith Barney LLC 

initiated arbitration with the Financial Industry Regulatory Authority (“FINRA”) 

against plaintiff Eric B. Bates. Earlier, defendant Morgan Stanley Smith Barney LLC 

initiated arbitration with FINRA against James Sevilla, a putative class member. 

E. Plaintiff has filed motions for the Court to determine that the claims 

made in the arbitrations against Messrs. Bates and Sevilla are part of the class action 

and stay the arbitration proceedings. Defendants have filed a motion to stay the 

proceedings in this class action pending resolution of the arbitration against Mr. Bates. 

The motions are scheduled for hearing on August 20, 2010. 

STIPULATION

1. The parties agree and stipulate that the Joint Status Report due 

under the Court’s order of May 19, 2010 (Document No. 16) shall be postponed until 

Case 2:09-cv-03049-FCD-GGH Document 34 Filed 08/04/10 Page 2 of 3
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STIPULATION RE JOINT STATUS STATEMENT; ORDER 

CASE NO. CIV S-09-03049 FCD-GGH 

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three weeks following the Court’s issuance of a written order on the pending motions or 

such other date as the Court may set. 

2. Neither party shall initiate any discovery in this matter until at least 

three weeks following the Court’s issuance of a written order on the pending motions. 

DATED: August ___, 2010 LAW OFFICES OF SCOT D. BERNSTEIN 

LAW OFFICES OF WILLIAM P. 

TORNGREN 

 /s/ William P. Torngren 

WILLIAM P. TORNGREN 

Attorneys for Plaintiff ERIC B. BATES 

DATED: August ___, 2010 /s/ Nathan R. Jaskowiak 

LISA M. BERTAIN 

JULIE L. TAYLOR 

NATHAN R. JASKOWIAK 

KEESAL, YOUNG & LOGAN 

Attorneys for Defendants 

MORGAN STANLEY SMITH BARNEY LLC, 

CITIGROUP GLOBAL MARKETS INC. f/k/a 

SMITH BARNEY. CITIGROUP GLOBAL 

MARKETS HOLDINGS, INC. 

ORDER

Good cause appearing, the Court enters the above Stipulation as its Order. 

DATED: August 3, 2010 _______________________________________ 

FRANK C. DAMRELL, JR. 

UNITED STATES DISTRICT JUDGE 

Case 2:09-cv-03049-FCD-GGH Document 34 Filed 08/04/10 Page 3 of 3