Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_14-cv-05563/USCOURTS-cand-3_14-cv-05563-18/pdf.json

Nature of Suit Code: 790
Nature of Suit: Other Labor Litigation
Cause of Action: 28:1332 Diversity-(Citizenship)

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STIPULATION TO TRANSFER

FOR SETTLEMENT PURPOSES

3:14-cv-05563-EMC

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Melinda S. Riechert

Jennifer Svanfeldt

Roberta H. Vespremi

MORGAN LEWIS & BOCKIUS LLP

One Market, Spear Street Tower

San Francisco, CA 94105-1596

Telephone: (415) 442-1000

Facsimile: (415) 442-1001

E-mail: mriechert@morganlewis.com

E-mail: jsvanfeldt@morganlewis.com

E-mail: rvespremi@morganlewis.com

Attorneys for Defendants

Jahan C. Sagafi (Cal. Bar No. 224887)

Julia Rabinovich (Cal. Bar No. 290730)

OUTTEN & GOLDEN LLP

One Embarcadero Center, 38th Floor

San Francisco, CA 94111

Telephone: (415) 638-8800

Facsimile: (415) 638-8810

E-mail: jsagafi@outtengolden.com

E-mail: jrabinovich@outtengolden.com

Attorneys for Plaintiffs and proposed Class Members

(Additional counsel listed on next page)

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

SAN FRANCISCO / OAKLAND DIVISION

JASON ZAJONC and DENNIS FOWLER,

individually and on behalf of all others

similarly situated,

Plaintiffs,

v.

MORGAN STANLEY & CO. LLC,

f/k/a Morgan Stanley & Co. Incorporated,

MORGAN STANLEY SMITH BARNEY

LLC, and MORGAN STANLEY,

Defendants.

CASE NO. 3:14-CV-05563-EMC

STIPULATION TO TRANSFER FOR

SETTLEMENT PURPOSES &

[PROPOSED] ORDER

Complaint Filed: December 19, 2014

Case 3:14-cv-05563-EMC Document 131 Filed 06/13/16 Page 1 of 8
STIPULATION TO TRANSFER

FOR SETTLEMENT PURPOSES

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Justin M. Swartz (admitted pro hac vice)

OUTTEN & GOLDEN LLP

3 Park Avenue, 29th Floor

New York, New York 10016

Telephone: (212) 245-1000

Facsimile: (646) 509-2060

E-mail: jms@outtengolden.com

Gregg I. Shavitz (admitted pro hac vice)

Susan H. Stern (admitted pro hac vice)

Paolo C. Meireles (admitted pro hac vice)

SHAVITZ LAW GROUP, P.A.

1515 S. Federal Hwy., Suite 404

Boca Raton, Florida 33432

Telephone: (561) 447-8888

Facsimile: (561) 447-8831

E-mail: gshavitz@shavitzlaw.com

E-mail: sstern@shavitzlaw.com

E-mail: pmeireles@shavitzlaw.com

Michael J. Palitz (admitted pro hac vice)

SHAVITZ LAW GROUP, P.A.

30 3rd Avenue, 5th Floor

New York, NY 10022

Telephone: (800) 616-4000

Facsimile: (561) 447-8831

E-mail: mpalitz@shavitzlaw.com

Seth R. Lesser (admitted pro hac vice)

Fran L. Rudich (admitted pro hac vice)

KLAFTER OLSEN & LESSER, LLP

Two International Drive, Suite 350

Rye Brook, NY 10573

Telephone: (914) 934-9200

Facsimile: (914) 934-9220

E-mail: seth@klafterolsen.com

E-mail: fran@klafterolsen.com

Attorneys for Plaintiffs and proposed Class Members

Case 3:14-cv-05563-EMC Document 131 Filed 06/13/16 Page 2 of 8
STIPULATION TO TRANSFER

FOR SETTLEMENT PURPOSES

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Plaintiffs Jason Zajonc and Dennis Fowler (“Plaintiffs”) and Defendants Morgan Stanley

& Co., LLC, f/k/a Morgan Stanley & Co. Incorporated, Morgan Stanley Smith Barney LLC, and

Morgan Stanley (“Defendants” or “Morgan Stanley”) hereby stipulate and agree as follows:

WHEREAS, the parties have agreed to a comprehensive settlement agreement (the

“Settlement Agreement”) that provides for the settlement of this action as well as three additional

cases: DeVries v. Morgan Stanley & Co., LLC, Case No. 12-81223 (S.D. Fla); Johnson v.

Morgan Stanley & Co., LLC, Case No. 1:15-cv-04865-RJS (S.D.N.Y.); and Hix v. Morgan

Stanley & Co., LLC, Case No. 1:15-cv-01157-MJG (D. Md.);

WHEREAS, as Devries is the most advanced action and involves the most opt-ins, the

Settlement Agreement provides for, and the parties hereby stipulate to transfer this action, along

with Johnson, and Hix, to the Southern District of Florida so that the Honorable Kenneth A.

Marra can consider the fairness of the entire settlement;

WHEREAS, the four actions all concern Defendants’ alleged failure to pay overtime for

all hours worked to either pre-production Financial Advisor Associates (DeVries and this action),

Client Service Associates (Johnson) and Service Associates (Hix). Each position is eligible for

overtime under Morgan Stanley’s policies, and Plaintiffs allege they were entitled to be

compensated for overtime for all hours worked over 40 per workweek. The Settlement

Agreement provides for compensation to each of these groups of employees. The Settlement

Agreement further provides that the parties in Johnson, Hix and this case will jointly seek to have

their respective cases transferred to Florida for consolidation with DeVries before Judge Marra

solely for the purpose of settlement;

WHEREAS, in DeVries, the Court conditionally certified a collective of pre-production

Financial Advisor Associates, 433 members of the collective opted in, including Plaintiff Jason

Zajonc, second phase discovery was completed and motions for final certification/decertification

and summary judgment were fully briefed and pending before the Court at the time the Settlement

Agreement was reached. It is therefore, by far, the most advanced case of the four actions being

settled and Judge Marra has the most familiarity with the compensation issues that are at the heart

of each of the cases;

Case 3:14-cv-05563-EMC Document 131 Filed 06/13/16 Page 3 of 8
STIPULATION TO TRANSFER

FOR SETTLEMENT PURPOSES

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WHEREAS, 28 U.S.C. § 1404(a), provides that “For the convenience of parties and

witnesses, in the interest of justice, a district court may transfer any civil action to any other

district or division where it might have been brought or to any district or division to which all

parties have consented.” This stipulated transfer satisfies each of these requirements;

WHEREAS, the stipulated transfer is for the convenience of those parties who have

entered into a settlement that is a part of an omnibus settlement of the four actions. It would be

unnecessarily burdensome on the parties to have to seek approval of the Settlement Agreement in

this Court and before Judge Marra. Similarly, judicial efficiency would be undermined if more

than one court were to address the same settlement;1

WHEREAS, the parties alerted Judge Marra to the settlement of DeVries, Johnson, Hix,

and Zajonc on March 9, 2016, and also advised him that the parties had agreed to transfer

Johnson, Hix, and Zajonc to him for approval as part of an omnibus settlement; and

WHEREAS Judge Marra responded positively, congratulating the parties on their

amicable resolution of these matters and ordering that the preliminary settlement approval papers

be filed by June 22, 2016. See DeVries Dkt. No. 506 & 512.

THEREFORE, the parties hereby stipulate and agree to transfer venue for this case for

settlement purposes to the Southern District of Florida, and respectfully request that the Court

grant that transfer in time for the June 22, 2016 settlement approval filing.

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1

If the settlement is ultimately not approved by the Court in Florida, the parties will move to

have this action transferred back to this Court for further proceedings.

Case 3:14-cv-05563-EMC Document 131 Filed 06/13/16 Page 4 of 8
STIPULATION TO TRANSFER

FOR SETTLEMENT PURPOSES

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Dated: June 10, 2016 Respectfully submitted,

By: /s/ Roberta H. Vespremi

Roberta H. Vespremi

Melinda S. Riechert

Jennifer Svanfeldt

Roberta H. Vespremi

MORGAN LEWIS & BOCKIUS LLP

One Market, Spear Street Tower

San Francisco, CA 94105-1596

Telephone: (415) 422-1486

Facsimile: (415) 422-1001

E-mail: mriechert@morganlewis.com

E-mail: jsvanfeldt@morganlewis.com

E-mail: rvespremi@morganlewis.com

Attorneys for Defendants

Case 3:14-cv-05563-EMC Document 131 Filed 06/13/16 Page 5 of 8
STIPULATION TO TRANSFER

FOR SETTLEMENT PURPOSES

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Dated: June 10, 2016 By: /s/ Jahan C. Sagafi

Jahan C. Sagafi

Jahan C. Sagafi (Cal. Bar No. 224887)

Julia Rabinovich (Cal. Bar No. 290730)

OUTTEN & GOLDEN LLP

One Embarcadero Center, 38th Floor

San Francisco, CA 94111

Telephone: (415) 638-8800

Facsimile: (415) 638-8810

E-mail: jsagafi@outtengolden.com

E-mail: jrabinovich@outtengolden.com

Justin M. Swartz (admitted pro hac vice)

OUTTEN & GOLDEN LLP

3 Park Avenue, 29th Floor

New York, New York 10016

Telephone: (212) 245-1000

Facsimile: (646) 509-2060

E-mail: jms@outtengolden.com

Gregg I. Shavitz (admitted pro hac vice)

Susan H. Stern (admitted pro hac vice)

Paolo C. Meireles (admitted pro hac vice)

SHAVITZ LAW GROUP, P.A.

1515 S. Federal Hwy., Suite 404

Boca Raton, Florida 33432

Telephone: (561) 447-8888

Facsimile: (561) 447-8831

E-mail: gshavitz@shavitzlaw.com

E-mail: sstern@shavitzlaw.com

E-mail: pmeireles@shavitzlaw.com

Michael J. Palitz (admitted pro hac vice)

SHAVITZ LAW GROUP, P.A.

30 3rd Avenue, 5th Floor

New York, NY 10022

Telephone: (800) 616-4000

Facsimile: (561) 447-8831

E-mail: mpalitz@shavitzlaw.com

Seth R. Lesser (admitted pro hac vice)

Fran L. Rudich (admitted pro hac vice)

KLAFTER OLSEN & LESSER, LLP

Two International Drive, Suite 350

Rye Brook, NY 10573

Telephone: (914) 934-9200

Facsimile: (914) 934-9220

E-mail: seth@klafterolsen.com

E-mail: fran@klafterolsen.com

Attorneys for Plaintiffs and Proposed Class

Members

Case 3:14-cv-05563-EMC Document 131 Filed 06/13/16 Page 6 of 8
[PROPOSED] ORDER GRANTING

STIPULATION TO TRANSFER

FOR SETTLEMENT PURPOSES

3:14-cv-05563-EMC

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PURSUANT TO STIPULATION, IT IS SO ORDERED.

Dated: June _____, 2016 _______________________________________

THE HONORABLE EDWARD M. CHEN

UNITED STATES DISTRICT JUDGE

13

U

NITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

IT IS SO ORDERED

Judge Edward M. Chen

Case 3:14-cv-05563-EMC Document 131 Filed 06/13/16 Page 7 of 8
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ATTESTATION OF SIGNATURE

Pursuant to Civil Local Rule 5-1(i)(3), the filer of this document attests that concurrence

in the filing of this document has been obtained from the other signatory above.

DATED: June 10, 2016 MORGAN, LEWIS & BOCKIUS LLP

By: /s/ Roberta H. Vespremi

Attorneys for Defendants

Case 3:14-cv-05563-EMC Document 131 Filed 06/13/16 Page 8 of 8