Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_15-cv-02074/USCOURTS-cand-3_15-cv-02074-4/pdf.json

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

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United States District Court

Northern District of California

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

LOUIS LIM,

Plaintiff,

v.

CHARLES SCHWAB & CO., INC.,

Defendant.

FRANCIS X. FLEMING,

 Plaintiff,

 v.

THE CHARLES SCHWAB 

CORPORATION, et al.,

Defendants.

Case Nos. 15-cv-02074-RS; 15-cv-02945-

RS 

ORDER REGARDING DISCLOSURE

OF AGREEMENT

When resolving a motion to dismiss for failure to state a claim, review is generally limited 

to the four corners of the complaint. Allarcom Pay Television. Ltd. v. Gen. Instrument Corp., 69 

F.3d 381, 385 (9th Cir. 1995). The court may, however, look to exhibits attached to the 

complaint, see Hal Roach Studios. Inc. v. Richard Feiner & Co., Inc., 896 F.2d 1542, 1555 n.19 

(9th Cir. 1989), and documents incorporated by reference into the complaint. See Van Buskirk v.

Cable News Network, Inc., 284 F.3d 977, 980 (9th Cir. 2002). Documents upon whose contents 

the complaint necessarily relies—even if the complaint does not explicitly allege their contents—

and whose authenticity and relevance are uncontested, are considered incorporated by reference. 

See Coto Settlement v. Eisenberg, 593 F.3d 1031, 1038 (9th Cir. 2010); Knievel v. ESPN, 393 F.3d 

1068, 1076–77 (9th Cir. 2005). The court may, in addition, take into account material that is 

properly the subject of judicial notice. Lee v. City of Los Angeles, 250 F.3d 668, 688–89 (9th Cir. 

Case 3:15-cv-02074-RS Document 51 Filed 12/01/15 Page 1 of 2
CASE NO. 15-cv-02074-RS

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United States District Court

Northern District of California

2001). Judicial notice may be taken of a fact not subject to reasonable dispute because it either is 

generally known within the trial court’s territorial jurisdiction, or can be readily determined from 

sources whose accuracy cannot reasonably be questioned. Fed. R. Evid. 201(b).

The Equities Order Handling Agreement (“EOHA”) is incorporated by reference in both 

Lim and Fleming’s complaints. See, e.g., Lim Compl. ¶¶ 1, 8 10; Fleming Compl. ¶¶ 56–57. 

Accordingly, defendants shall file under seal an unredacted copy for the Court’s consideration, 

and shall provide to plaintiffs’ counsel a copy on a “Highly Confidential—Attorneys’ Eyes Only”

basis. The agreement is being received by the Court in light of the fact that it is incorporated by 

reference. Defendants’ request to take judicial notice of the document is unnecessary, and 

therefore will be denied as moot.

IT IS SO ORDERED.

Dated: December 1, 2015

______________________________________

RICHARD SEEBORG

United States District Judge

Case 3:15-cv-02074-RS Document 51 Filed 12/01/15 Page 2 of 2