Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_15-cv-02945/USCOURTS-cand-3_15-cv-02945-2/pdf.json

Nature of Suit Code: 190
Nature of Suit: Other Contract Actions
Cause of Action: 28:1332 Diversity-Breach of Contract

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1081434_1 

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ROBBINS GELLER RUDMAN 

 & DOWD LLP 

ANDREW J. BROWN (160562) 

BENNY C. GOODMAN III (211302) 

ASHLEY M. PRICE (281797) 

JUAN CARLOS SANCHEZ (301834) 

655 West Broadway, Suite 1900 

San Diego, CA 92101-8498 

Telephone: 619/231-1058 

619/231-7423 (fax) 

andrewb@rgrdlaw.com 

bennyg@rgrdlaw.com 

aprice@rgrdlaw.com 

jsanchez@rgrdlaw.com 

– and – 

SHAWN A. WILLIAMS (213113) 

Post Montgomery Center 

One Montgomery Street, Suite 1800 

San Francisco, CA 94104 

Telephone: 415/288-4545 

415/288-4534 (fax) 

shawnw@rgrdlaw.com 

Attorneys for Plaintiff 

[Additional counsel appear on signature page.] 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

FRANCIS FLEMING, Individually and on 

Behalf of All Others Similarly Situated, 

Plaintiff, 

vs. 

THE CHARLES SCHWAB CORPORATION, 

et al., 

Defendants. 

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Case No. 3:15-cv-02945-RS 

CLASS ACTION 

STIPULATION AND [PROPOSED] ORDER 

DISMISSING DEFENDANT CHARLES R. 

SCHWAB WITHOUT PREJUDICE 

Case 3:15-cv-02945-RS Document 40 Filed 10/19/15 Page 1 of 4
1081434_1 STIPULATION AND [PROPOSED] ORDER DISMISSING DEFENDANT CHARLES R. SCHWAB 

WITHOUT PREJUDICE – No. 3:15-cv-02945-RS - 1 -

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WHEREAS, on June 24, 2015, Plaintiff Francis Fleming filed a class action Complaint for 

Breach of Contract, Violation of Cal. Bus. & Prof. Code §17200, et seq., Intentional 

Misrepresentation and Omission, Negligent Misrepresentation and Omission and Aiding and 

Abetting (the “Complaint”); 

WHEREAS, the Complaint asserts claims against The Charles Schwab Corporation, Charles 

Schwab & Co., Inc., Charles R. Schwab, Walter W. Bettinger II and UBS Securities LLC 

(collectively, “Defendants”) arising out of the Company’s promise to provide its clients with “best 

execution” and its practice of routing the majority of its clients’ orders to UBS; 

WHEREAS, on August 21, 2015, Defendants filed motions to dismiss the Complaint 

pursuant to Rules 12(b)(1) and 12(b)(6) of the Federal Rules of Civil Procedure; 

WHEREAS, on September 25, 2015, Plaintiff filed a Consolidated Opposition to 

Defendants’ Motions to Dismiss; 

WHEREAS, the parties have conferred regarding dismissing defendant Charles R. Schwab 

from the Complaint and have agreed that he should be voluntarily dismissed without prejudice; 

WHEREAS, the parties also agree that each party will bear its own costs; 

WHEREAS, the parties agree that notice to the putative class is not required because 

Defendants have not answered the Complaint, Defendants’ motions to dismiss are pending and this 

action has not yet been certified as a class action; 

NOW THEREFORE, it is hereby stipulated and agreed by the parties to this Stipulation only, 

by and through their undersigned counsel, as follows: 

1. Charles R. Schwab shall be voluntarily dismissed without prejudice; 

2. The parties shall each bear their own costs and expenses and thereby waive their 

rights, if any, to seek costs or expenses from each other in connection with the above captioned 

action; and 

3. Notice to the putative class is not required. 

Case 3:15-cv-02945-RS Document 40 Filed 10/19/15 Page 2 of 4
1081434_1 STIPULATION AND [PROPOSED] ORDER DISMISSING DEFENDANT CHARLES R. SCHWAB 

WITHOUT PREJUDICE – No. 3:15-cv-02945-RS - 2 -

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DATED: October 19, 2015 ROBBINS GELLER RUDMAN 

 & DOWD LLP 

ANDREW J. BROWN 

BENNY C. GOODMAN III 

ASHLEY M. PRICE 

JUAN CARLOS SANCHEZ 

s/ BENNY C. GOODMAN III 

 BENNY C. GOODMAN III 

655 West Broadway, Suite 1900 

San Diego, CA 92101 

Telephone: 619/231-1058 

619/231-7423 (fax)

ROBBINS GELLER RUDMAN 

 & DOWD LLP 

SHAWN A. WILLIAMS 

Post Montgomery Center 

One Montgomery Street, Suite 1800 

San Francisco, CA 94104 

Telephone: 415/288-4545 

415/288-4534 (fax)

LAW OFFICE OF ALFRED G. 

 YATES, JR., P.C. 

ALFRED G. YATES, JR. 

(appearance pro hac vice) 

GERALD L. RUTLEDGE 

519 Allegheny Building 

429 Forbes Avenue 

Pittsburgh, PA 15219 

Telephone: 412/391-5164 

412/471-1033 (fax)

Attorneys for Plaintiff 

DATED: October 19, 2015 ARNOLD & PORTER LLC 

GILBERT R. SEROTA 

ERICA M. CONNOLLY 

s/ GILBERT R. SEROTA 

 GILBERT R. SEROTA 

Three Embarcadero Center, 10th Floor 

San Francisco, CA 94111-4024 

Telephone: 415/471-3100 

415/471-3400 (fax) 

email: Gilbert.Serota@aporter.com 

Case 3:15-cv-02945-RS Document 40 Filed 10/19/15 Page 3 of 4
1081434_1 STIPULATION AND [PROPOSED] ORDER DISMISSING DEFENDANT CHARLES R. SCHWAB 

WITHOUT PREJUDICE – No. 3:15-cv-02945-RS - 3 -

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Attorneys for Defendants The Charles Schwab 

Corporation, Charles Schwab & Co., Inc., 

Charles R. Schwab, and Walter W. Bettinger II 

* * * 

O R D E R 

IT IS SO ORDERED. 

DATED: _________________________ ____________________________________ 

THE HONORABLE RICHARD SEEBORG 

UNITED STATES DISTRICT JUDGE 

 

10/19/15

Case 3:15-cv-02945-RS Document 40 Filed 10/19/15 Page 4 of 4