Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-5_08-cv-01209/USCOURTS-cand-5_08-cv-01209-1/pdf.json

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

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STIPULATION RE ENTRY OF PRELIMINARY INJUNCTION AND PROPOSED ORDER THEREON 

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EDGERTON 

&

WEAVER, LLP

EDGERTON & WEAVER, LLP 

CHAD WEAVER (CA Bar No. 191984) 

2615 Pacific Coast Highway, Suite 300 

Hermosa Beach, California 90254 

Tel: (310) 937-2066 

Fax: (310) 937-2064 

Attorneys for Defendant, 

Frank Horath 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA – SAN JOSE 

MORGAN STANLEY & CO. Incorporated, a 

corporation, 

Plaintiff, 

vs. 

FRANK HORATH, an individual, 

Defendant. 

Case No. 

STIPULATION RE ENTRY OF 

PRELIMINARY INJUNCTION AND 

PROPOSED ORDER THEREON 

STIPULATION

Plaintiff Morgan Stanley & Co. Incorporated (“Morgan Stanley”) and defendant Frank 

Horath (“Horath” or ‘Defendant”) hereby stipulate and agree as follows: 

1. Horath was permitted to send, and did send, the attached (exhibit 1) 

announcement to customers of Morgan Stanley whom Horath serviced while 

employed with Morgan Stanley. 

2. The parties further agree to the Court’s entry of the following preliminary 

injunction: 

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORN

I

A

DENIED WITHOUT

PREJUDICE

Judge James Ware

08-1209-JW

Case 5:08-cv-01209-JW Document 12 Filed 03/24/08 Page 1 of 4
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STIPULATION RE ENTRY OF PRELIMINARY INJUNCTION AND PROPOSED ORDER THEREON 

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EDGERTON 

&

WEAVER, LLP

[PROPOSED] PRELIMINARY INJUNCTION 

Based on the parties’ Stipulation above, IT IS HEREBY ORDERED AND 

DECREED THAT: 

A. A preliminary injunction shall be issued. Defendant is hereby enjoined and 

restrained, directly or indirectly, whether acting alone or in concert with others, including any 

officer, agent, representative, and/or employee of Raymond James Financial Services, Inc., 

from: 

1. Soliciting any business from any client or customer whom Defendant 

served during his employment with Morgan Stanley, or any other 

customer or client of Morgan Stanley whose name became known to 

Defendant while in the employ of Morgan Stanley; 

2. Contacting for business purposes, whether in person, through others, by 

telephone or in writing, any client or customer of Morgan Stanley whom 

Defendant served during his employment with Morgan Stanley or whose 

name became known to Defendant while employed by Morgan Stanley, 

unless the client or customer initiated such contact subsequent to 

Defendant leaving Morgan Stanley; and 

3. Using, disclosing, or transmitting for any purpose (including but not 

limited to the solicitation of said clients or customers), any information 

contained in the records of Morgan Stanley, including but not limited to 

the names, addresses, and financial information of said clients or 

customers, unless such information was obtained from said 

clients/customers or from Morgan Stanley subsequent to Defendant 

leaving Morgan Stanley. 

B. Within 48 hours of entry of this Order by the Court, Defendant is hereby required 

to return to Morgan Stanley’s counsel, Patrick J. Folan, all originals, copies, or other 

reproductions, in any form whatsoever, of any document or other form of recorded Morgan 

Case 5:08-cv-01209-JW Document 12 Filed 03/24/08 Page 2 of 4
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STIPULATION RE ENTRY OF PRELIMINARY INJUNCTION AND PROPOSED ORDER THEREON 

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EDGERTON 

&

WEAVER, LLP

Stanley information, and to thereafter purge and destroy any computerized record of Morgan 

Stanley that is within Defendant’s possession, custody or control, except for documents 

obtained directly from Morgan Stanley or customers/clients of Morgan Stanley subsequent to 

Defendant leaving Morgan Stanley. 

C. Pursuant to §13200 of the FINRA Code of Arbitration Procedure and §3 and 4 of 

the Federal Arbitration Act, the parties are directed to continue to proceed toward arbitration on 

the merits of the controversy before a full panel of FINRA arbitrators appointed in accordance 

with the FIRNA Code of Arbitration Procedure. 

D. In view of the nature of the controversy and Morgan Stanley’s financial 

condition, a bond is deemed to be unnecessary. 

 E. This Order shall remain in full force and effect pending a decision on the merits 

by the FINRA arbitration panel, or upon stipulation of the parties. 

DATED: February, 2008 ST. JOHN, WALLACE, BRENNAN 

& FOLAN LLP 

 By:___________________________ 

Steven Brennan (State Bar #110256) 

Attorneys for Plaintiff Morgan Stanley & 

Incorporated 

DATED: February_, 2008 EDGERTON & WEAVER, LLP 

 By:_____________________________ 

Chad Weaver (State Bar.#191984) 

Attorneys for Defendant Frank Horath 

IT IS SO ORDERED. 

Dated:___________________ __________________________________ 

Hon. 

United States District Court Judge 

Case 5:08-cv-01209-JW Document 12 Filed 03/24/08 Page 3 of 4
*** ORDER ***

 The Court DENIES the parties' Stipulation without prejudice. The Court invites the 

parties to a Case Management Conference to discuss this Stipulation and the future of the 

case. The parties shall appear for a Case Management Conference on March 31, 2008 

at 10 a.m. 

Dated: March 21, 2008 _______________________________ 

 JAMES WARE 

 United States District Judge

Case 5:08-cv-01209-JW Document 12 Filed 03/24/08 Page 4 of 4