Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_03-cv-00440/USCOURTS-cand-3_03-cv-00440-9/pdf.json

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

---

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

PT05-0000015

3056088.1 1

Case No. C-03-0440 JCS

STIPULATION AND ORDER RE 

UNDISPUTED FACTS

LAW OFFICES

HAIGHT, BROWN &

BONESTEEL, L.L.P.

San Francisco

David W. Evans (Bar No. 79466)

Scott M. Bloom (Bar No. 183891)

HAIGHT, BROWN & BONESTEEL, L.L.P.

100 Bush Street, 27th Floor

San Francisco, California 94104-3967

Telephone: (415) 986-7700

Facsimile: (415) 986-6945

Attorneys for Plaintiff and Counterdefendant

STEEFEL, LEVITT & WEISS, A Professional Corporation

Edward D. Haas (Bar No. 76647)

Russell S. Roeca (Bar No. 97297)

ROECA HAAS HAGER LLP

180 Sutter Street, Suite 200

San Francisco, California 94104

Telephone: (415) 352-0980

Facsimile: (415) 352-0988

Attorneys for Counterdefendants and Countercomplainants

WILLIAM R. PASCOE and PASCOE & RAFTON

Edward Vincent King, Jr. (State Bar No. 085726)

KING & KELLEHER LLP

20 California Street, 7th Floor

San Francisco, California 94111

Telephone: (415) 781-2888

Facsimile: (415) 781-3011

Attorneys for Defendants, Counterclaimants and Counterdefendant

ASTOR HOLDINGS, INC., ROBOT WARS LLC, SMILE/ASTOR PLACE 

COMMUNICATIONS and STEVEN PLOTNICKI

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

STEEFEL, LEVITT & WEISS, A Professional 

Corporation,

Plaintiff,

v.

ASTOR HOLDINGS, INC. f/k/a PROFILE 

RECORDS, INC, et al.,

Defendants.

AND RELATED CROSS-CLAIMS AND 

COUNTER-CLAIMS.

)

)

)

)

)

)

)

)

)

)

)

)

)

)

)

Case No. C-03-0440 JCS

STIPULATION AND ORDER RE 

UNDISPUTED FACTS

Judge: Hon. Joseph C. Spero

Trial Date: August 1, 2005

Case 3:03-cv-00440 Document 209 Filed 07/30/2005 Page 1 of 6 Case 3:03-cv-00440-JCS Document 211 Filed 08/01/05 Page 1 of 6
1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

PT05-0000015

3056088.1 2

Case No. C-03-0440 JCS

STIPULATION AND ORDER RE 

UNDISPUTED FACTS

LAW OFFICES

HAIGHT, BROWN &

BONESTEEL, L.L.P.

San Francisco

The parties hereto, by and through their counsel of record, hereby stipulate that the 

attached listing of Undisputed Facts are agreed to for purposes of trial and will therefore be 

deemed to have been proven as if found to be true by the trier of fact. During trial, said listing of

Undisputed Facts shall be read to the jury by the Court in connection with the giving of jury 

instructions, prior to closing arguments, and will thereafter be given to the jury for their 

deliberations along with all exhibits admitted in evidence.

Dated: July 29, 2005 HAIGHT BROWN & BONESTEEL LLP

By: /s/ David W. Evans

David W. Evans

Scott M. Bloom

Attorneys for Plaintiff and Counterdefendant

STEEFEL, LEVITT & WEISS, A 

Professional Corporation

Dated: July 29, 2005 ROECA HAAS HAGER LLP

By: /s/ Russell S. Roeca

Edward Haas

Russell S. Roeca

Attorneys for Counterdefendants and 

Countercomplainants WILLIAM R. 

PASCOE AND PASCOE & RAFTON

/ / /

/ / /

/ / /

/ / /

/ / /

/ / /

/ / /

Case 3:03-cv-00440 Document 209 Filed 07/30/2005 Page 2 of 6 Case 3:03-cv-00440-JCS Document 211 Filed 08/01/05 Page 2 of 6
1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

PT05-0000015

3056088.1 3

Case No. C-03-0440 JCS

STIPULATION AND ORDER RE 

UNDISPUTED FACTS

LAW OFFICES

HAIGHT, BROWN &

BONESTEEL, L.L.P.

San Francisco

Dated: July 29, 2005 ROECA HAAS HAGER LLP

By: /s/ Edward Vincent King, Jr.

Edward Vincent King, Jr.

Attorneys for Defendants, Counterclaimants 

and Counterdefendant ASTOR

HOLDINGS, INC., ROBOT WARS LLC, 

SMILE/ASTOR PLACE 

COMMUNICATIONS and STEVEN 

PLOTNICKI

ORDER

Based upon the foregoing stipulation of the parties, and good cause therefore appearing, 

the Court adopts the parties’ stipulation as its Order. The listing of Undisputed Facts attached

hereto shall be read to the jury by the Court in connection with the giving of jury instructions, 

prior to closing arguments, and will thereafter be given to the jury for their deliberations along 

with all exhibits admitted in evidence.

IT IS SO ORDERED.

Dated:_____________________ ________________________________________

United States Magistrate Judge

Case 3:03-cv-00440 Document 209 Filed 07/30/2005 Page 3 of 6

8/1/05 /s/ Joseph C. Spero

Case 3:03-cv-00440-JCS Document 211 Filed 08/01/05 Page 3 of 6
1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

PT05-0000015

3056088.1 4

Case No. C-03-0440 JCS

STIPULATION AND ORDER RE 

UNDISPUTED FACTS

LAW OFFICES

HAIGHT, BROWN &

BONESTEEL, L.L.P.

San Francisco

UNDISPUTED FACTS

1. On July 22, 1994, Marc Thorpe (“Thorpe”) and Profile Records, Inc. entered into a 

Joint Venture Agreement to form an entity known as Robot Wars.

2. On July 25, 1997, Profile Records, Inc. sued Marc Thorpe for damages and 

injunctive relief in an action entitled Profile Records, Inc. v. Marc Thorpe et al ̧ United States 

District Court, Southern District of New York, No. 97 CIV 5536.

3. Fran Jacobs of the New York office of Duane Morris, LLP, represented Astor in 

the 1997 lawsuit against Thorpe.

4. On May 27, 1998, Thorpe filed for bankruptcy protection in the United States 

Bankruptcy Court for the Northern District of California, Santa Rosa Division, entitled In re Marc 

and Denise Thorpe, United States Bankruptcy Court, Northern District of California, Santa Rosa 

Division, Chapter 11 Case No. 98-11963.

5. William R. Pascoe and his law firm, Pascoe & Rafton (“Pascoe”) were retained by 

Profile Records, Inc., on June 10, 1998 to obtain relief from the automatic stay in order for Profile 

to continue prosecution of its action against Thorpe in New York.

6. Astor Holdings, Inc. is the successor in interest of Profile Holdings, Inc. which is 

the successor-in-interest of Profile Records, Inc.

7. In March 1999, the Bankruptcy Court approved a settlement of Thorpe’s and 

Astor’s dispute in the Bankruptcy Court.

8. On August 8, 2000, Judge Alan Jaroslovsky of the United States Bankruptcy Court, 

Northern District of California, Santa Rosa Division, issued an order which found that Thorpe, 

alone, had breached the 1999 settlement agreement. The Court awarded damages to Thorpe, 

however, in the amount of $24,333. This Order was the subject of a Judgment entered on August

18, 2000.

9. Astor, through Duane Morris, contacted Steefel, Levitt & Weiss (“Steefel”)

shareholder Harvey S. Schochet on or about August 15, 2000 to discuss the filing of an appeal of 

Judge Jaroslovsky’s ruling of August 8, 2000.

Case 3:03-cv-00440 Document 209 Filed 07/30/2005 Page 4 of 6 Case 3:03-cv-00440-JCS Document 211 Filed 08/01/05 Page 4 of 6
1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

PT05-0000015

3056088.1 5

Case No. C-03-0440 JCS

STIPULATION AND ORDER RE 

UNDISPUTED FACTS

LAW OFFICES

HAIGHT, BROWN &

BONESTEEL, L.L.P.

San Francisco

10. Astor and Robot Wars agreed to retain Steefel to pursue such an appeal; such 

engagement was later memorialized pursuant to written engagement letters dated August 21, 2001.

These written agreements were executed by Steven Plotnicki for Astor and Robot Wars; they 

expressly applied to the terms of Steefel’s representation from and after August 2000.

11. On January 25, 2001, Thorpe filed a proposed Second Amended Plan of 

Reorganization (“Plan”) in the core bankruptcy action. 

12. In March and April 2001, Jacobs of Duane Morris researched and prepared a 

complaint against Thorpe to be filed in the United States District Court in New York.

13. Harvey Schochet received a copy of the complaint against Thorpe before it was 

filed and, based on Jacobs’ limited request for input as to venue and jurisdictional matters, 

provided comments and suggestions as to only such matters.

14. Pascoe was never provided with a draft of the complaint or otherwise reviewed the 

lawsuit entitled Robot Wars, LLC v. Marc Thorpe, S.D.N.Y., Case No. 01CV3195, before it was 

filed by attorney Fran Jacobs.

15. On April 13, 2001, Pascoe, on behalf of Astor, filed objections to Thorpe’s Plan.

16. Jacobs of Duane Morris filed a complaint against Thorpe on April 16, 2001, 

entitled Robot Wars LLC v. Marc Thorpe, United States District Court, Southern District of New 

York, Action No. 01-CIV-3195 (“Thorpe Action”).

17. Neither Steefel nor Pascoe appeared as counsel of record in the Thorpe Action.

18. On April 26, 2001, Thorpe’s counsel demanded that Jacobs, on behalf of Astor 

(Robot Wars) dismiss the action filed against Thorpe in New York.

19. On April 30, 2001, Judge Jaroslovsky entered a formal Order confirming Thorpe’s 

Plan.

20. On April 30, 2001, Thorpe’s counsel again demanded that Astor dismiss the action 

filed against Thorpe in New York and threatened to seek damages for contempt if such demand 

was not met.

21. The action against Thorpe in New York was not dismissed in response to the 

demands made by Thorpe’s counsel.

Case 3:03-cv-00440 Document 209 Filed 07/30/2005 Page 5 of 6 Case 3:03-cv-00440-JCS Document 211 Filed 08/01/05 Page 5 of 6
1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

PT05-0000015

3056088.1 6

Case No. C-03-0440 JCS

STIPULATION AND ORDER RE 

UNDISPUTED FACTS

LAW OFFICES

HAIGHT, BROWN &

BONESTEEL, L.L.P.

San Francisco

22. On May 3, 2001, on Astor’s behalf, Jacobs wrote to Thorpe’s counsel and offered 

an “open” extension of time for Thorpe to respond to the Thorpe Action.

23. On May 3, 2001, Thorpe commenced an Adversary Proceeding in the United States 

Bankruptcy Court, Santa Rosa Division, entitled Marc and Denise Thorpe v. Robot Wars, LLC, 

Fran Jacobs, Duane Morris & Heckscher, Astor Holdings and Steven Plotnicki, AP No. 01-1061.

24. On May 11, 2001, Judge Jaroslovsky issued a Memorandum of Decision granting a 

preliminary injunction and enjoining further prosecution of the Thorpe Action.

25. On May 25, 2001, Astor filed an appeal to the Bankruptcy Appellate Panel of the 

Ninth Circuit of Judge Jaroslovsky’s Memorandum Order granting a preliminary injunction 

enjoining prosecution of the Thorpe Action.

26. On July 2, 2001, the United States District Court, Northern District of California,

the Hon. Martin Jenkins, issued an Order reversing Judge Jaroslovsky’s August 8, 2000 Order and 

remanding the matter to Judge Jaroslovsky for further proceedings.

27. On October 21, 2001, on Astor’s behalf, Steefel filed a Notice of Appeal to the 

Bankruptcy Appellate Panel from the Order Confirming Debtor’s (Thorpe’s) Plan of 

Reorganization.

28. On October 24, 2001, Astor filed an Emergency Motion for Stay of Implementation 

of Debtor’s Plan of Reorganization before the Bankruptcy Appellate Panel of the Ninth Circuit.

29. On November 13, 2001, Astor’s President, Steve Plotnicki, entered into a 

settlement-in-principle of all proceedings with Thorpe and placed the terms on the record before 

Judge Jaroslovsky.

30. On November 16, 2001, the Bankruptcy Appellate Panel of the Ninth Circuit issued 

an Order Granting the Emergency Motion for Stay of any acts either implementing or enforcing 

the Thorpe Plan, without bond.

Case 3:03-cv-00440 Document 209 Filed 07/30/2005 Page 6 of 6 Case 3:03-cv-00440-JCS Document 211 Filed 08/01/05 Page 6 of 6