Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-4_05-cv-01330/USCOURTS-cand-4_05-cv-01330-11/pdf.json

Nature of Suit Code: 190
Nature of Suit: Other Contract Actions
Cause of Action: 28:1441 Petition For Removal--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 

CONFIDENTIALITY STIPULATION AND ORDER (No. C 05 1330 CW) 

 

1 

STEEFEL, LEVITT & WEISS A PROFESSIONAL CORPORATION

ONE EMBARCADERO CENTER · 30TH FLOOR · SAN FRANCISCO, CA 94111-3719 

Telephone: 415/788-0900 · Facsimile: 415/788-2019

BRIAN T. HAFTER (State Bar No. 173151, bhafter@steefel.com) 

STEEFEL, LEVITT & WEISS 

A Professional Corporation 

One Embarcadero Center, 30th Floor 

San Francisco, California 94111-3719 

Telephone: (415) 788-0900 

Facsimile: (415) 788-2019 

CHARLES E. DORKEY III 

(Pro Hac Vice, cdorkey@torys.com) 

DAVID W.R. WAWRO 

(Pro Hac Vice, dwawro@torys.com) 

CHRISTOPHER M. CAPARELLI 

(Pro Hac Vice, ccaparelli@torys.com) 

TORYS LLP 

237 Park Avenue 

New York, NY 10017 

Telephone: (212) 880-6000 

Facsimile: (212) 682-0200 

Attorneys for Defendants 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

OAKLAND DIVISION 

DONALD H. PUTNAM, an individual, 

Plaintiff, 

v. 

PUTNAM LOVELL GROUP NBF 

SECURITIES, INC., a Delaware 

corporation, and NATIONAL BANK OF 

CANADA, a Canadian chartered bank, 

NATIONAL BANK FINANCIAL, INC., a 

Quebec corporation; and DOES 1-20, 

inclusive, 

Defendants. 

CASE NO. C 05 1330 CW 

CONFIDENTIALITY STIPULATION 

AND ORDER 

IT IS HEREBY STIPULATED AND AGREED that the following procedures 

shall govern the production and use of confidential documents, testimony and other such 

information: 

Case 4:05-cv-01330-CW Document 117 Filed 08/11/06 Page 1 of 7
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 

CONFIDENTIALITY STIPULATION AND ORDER (No. C 05 1330 CW) 2 

STEEFEL, LEVITT & WEISS A PROFESSIONAL CORPORATION

ONE EMBARCADERO CENTER · 30TH FLOOR · SAN FRANCISCO, CA 94111-3719 

Telephone: 415/788-0900 · Facsimile: 415/788-2019

 

1. Any document, testimony, information or thing, or portion thereof, produced by 

any party may be designated as “Confidential” (such information is referred to hereinafter as 

“Confidential Information”) by, in the case of documents or things, stamping the legend 

“CONFIDENTIAL” thereon, or in the case of testimony, by any one of the following means: 

(a) stating orally on the record of a deposition that certain information, testimony or exhibits are 

“Confidential” or (b) sending written notice designating such information, testimony or exhibits 

as “Confidential” within seven days of receipt of the deposition transcript. 

2. Any document, testimony, information or thing, or portion thereof, produced by 

any party which the producing party believes in good faith contains highly sensitive business, 

financial or personal information, and which is information that the producing party would 

normally not reveal to third parties except in confidence or has undertaken with others to maintain 

in confidence, and is more sensitive than Confidential Information, may be designated as 

“Attorneys’ Eyes Only” (such information is referred to hereinafter as “Attorneys’ Eyes Only 

Information”) by, in the case of documents or things, stamping the legend “ATTORNEYS’ EYES 

ONLY” thereon, or in the case of testimony, by any one of the following means: (a) stating 

orally on the record of a deposition that certain information, testimony or exhibits are “Attorneys’ 

Eyes Only” or (b) sending written notice designating such information, testimony or exhibits as 

“Attorneys’ Eyes Only” within seven days of receipt of the deposition transcript. 

3. Any document, testimony, information or thing, or portion thereof, produced by 

any party in an electronic format, which cannot be designated by stamping the appropriate legend, 

shall be deemed to be “Confidential”, or if the document, testimony, information or thing, or 

portion thereof satisfy the criteria set forth in paragraph 2 above, may be designated by the 

producing party as “Attorneys’ Eyes Only” by sending written notice designating such document, 

testimony, information or thing as “Attorneys’ Eyes Only.” 

Case 4:05-cv-01330-CW Document 117 Filed 08/11/06 Page 2 of 7
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 

CONFIDENTIALITY STIPULATION AND ORDER (No. C 05 1330 CW) 3 

STEEFEL, LEVITT & WEISS A PROFESSIONAL CORPORATION

ONE EMBARCADERO CENTER · 30TH FLOOR · SAN FRANCISCO, CA 94111-3719 

Telephone: 415/788-0900 · Facsimile: 415/788-2019

4. All Confidential Information and Attorneys’ Eyes Only Information shall be kept 

in the offices, and custody, of the parties’ counsel, subject to the disclosure permitted under 

paragraphs 4 and 5 below. All Confidential Information and Attorneys’ Eyes Only Information 

shall be used by the parties solely for the purposes of preparing for and in this action and not for 

any other purpose, action, case or proceeding, and only as provided in this Stipulation and Order. 

In particular, no Confidential Information or Attorneys’ Eyes Only Information shall be disclosed 

by a receiving party to Ian Brimecome, his attorneys or any person representing him. 

5. Confidential Information, including information derived therefrom, shall not be 

disclosed in any manner to any person or entity except: 

(a) The parties; 

(b) Counsel of record in this action; 

(c) Consultants or experts retained by counsel in connection with this action, 

provided that such persons are first given this Stipulation and Order and execute 

the Agreement annexed hereto (which Agreement shall be retained by counsel); 

(d) Any witness called to give testimony in this action, provided that such 

witnesses are first given this Stipulation and Order and execute the Agreement 

annexed hereto (which Agreement shall be retained by counsel calling such 

witnesses), or provided that such witnesses agree, under oath, to be bound by 

this Stipulation and Order; 

(e) Court reporters or stenographers employed in connection with this action; 

(f) The Court; or 

(g) Otherwise as required by law. 

6. Attorneys’ Eyes Only Information, including information derived therefrom, shall 

not be disclosed in any manner to any person or entity except: 

Case 4:05-cv-01330-CW Document 117 Filed 08/11/06 Page 3 of 7
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 

CONFIDENTIALITY STIPULATION AND ORDER (No. C 05 1330 CW) 4 

STEEFEL, LEVITT & WEISS A PROFESSIONAL CORPORATION

ONE EMBARCADERO CENTER · 30TH FLOOR · SAN FRANCISCO, CA 94111-3719 

Telephone: 415/788-0900 · Facsimile: 415/788-2019

(a) Counsel of record in this action; 

(b) Consultants or experts retained by counsel in connection with this action, 

provided that such persons are first given this Stipulation and Order and execute 

the Agreement annexed hereto (which Agreement shall be retained by counsel); 

(c) The author or recipient, and in the case of an agreement, the parties to the 

agreement; 

(d) Any person upon written consent of the party which designated the Attorneys’ 

Eyes Only Information, provided that such persons are first given this 

Stipulation and Order and execute the Agreement annexed hereto (which 

Agreement shall be retained by counsel); 

(e) Court reporters or stenographers employed in connection with this action; 

(f) The Court; or 

(g) Otherwise as required by law. 

7. The failure of any party to object to the designation of information as 

“Confidential” or “Attorney’s Eyes Only” at the time of its designation shall not be deemed a 

waiver of that party’s right to challenge the propriety of such designation at any time thereafter. 

Should counsel object to the designation by a party of any Discovery Material as “Confidential” 

or “Attorney’s Eyes Only,” counsel shall notify the designating party’s counsel of the objections, 

and counsel shall promptly confer in an attempt to resolve the matter. If the matter remains 

unresolved, objecting counsel may then apply to the Court for a determination of whether the 

designation should be removed. The designating party bears the burden of proving that the 

information at issue is properly designated as “Confidential” or “Attorneys’ Eyes Only.” The 

document shall be treated as designated unless and until such a motion is presented, and during 

the pendency of any such motion. 

Case 4:05-cv-01330-CW Document 117 Filed 08/11/06 Page 4 of 7
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 

CONFIDENTIALITY STIPULATION AND ORDER (No. C 05 1330 CW) 5 

STEEFEL, LEVITT & WEISS A PROFESSIONAL CORPORATION

ONE EMBARCADERO CENTER · 30TH FLOOR · SAN FRANCISCO, CA 94111-3719 

Telephone: 415/788-0900 · Facsimile: 415/788-2019

8. Documents containing Confidential Information or Attorneys’ Eyes Only 

Information, including briefs, which are submitted to the Court shall: (a) if filed with the Clerk, 

be filed under seal, in a sealed envelope bearing the appropriate legend indicating that such 

materials are confidential and are being filed under seal pursuant to this Stipulation and Order, 

and a redacted copy of such document without the Confidential Information or Attorneys’ Eyes 

Only Information shall be filed publicly, and (b) if delivered to the Court’s chambers, be 

delivered in a sealed envelope bearing an appropriate legend. 

9. Within 30 days after the termination of this action, each party shall return all 

Confidential Information and Attorneys’ Eyes Only Information, and any copies thereof, to the 

party which produced the Confidential Information and Attorneys’ Eyes Only Information, or 

destroy the Confidential Information or Attorneys’ Eyes Only Information, and any copies 

thereof. 

10. Nothing in this Stipulation and Order shall (i) operate as an admission that any 

particular document, testimony, information or thing is, or is not, confidential in any subsequent 

proceeding; (ii) operate to require the production of information, documents or things that are 

privileged or otherwise protected from discovery; or (iii) affect any party’s right to object to any 

discovery request. 

Dated: August 10, 2006 TORYS LLP 

 By: /s/ Charles E. Dorkey III

 Charles E. Dorkey III 

Attorneys for Defendants 

Dated: August 10, 2006 KEKER & VAN NEST, LLP 

 By: /s/ Christopher C. Kearney

 Christopher C. Kearney 

Attorneys for Plaintiff 

Case 4:05-cv-01330-CW Document 117 Filed 08/11/06 Page 5 of 7
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 

CONFIDENTIALITY STIPULATION AND ORDER (No. C 05 1330 CW) 6 

STEEFEL, LEVITT & WEISS A PROFESSIONAL CORPORATION

ONE EMBARCADERO CENTER · 30TH FLOOR · SAN FRANCISCO, CA 94111-3719 

Telephone: 415/788-0900 · Facsimile: 415/788-2019

SO ORDERED; BUT SEE LOCAL RULE 79-5. 

/s/ CLAUDIA WILKEN 

__________________________ 

Hon. Claudia Wilken 

United States District Judge 

Case 4:05-cv-01330-CW Document 117 Filed 08/11/06 Page 6 of 7
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 

CONFIDENTIALITY STIPULATION AND ORDER (No. C 05 1330 CW) 

 

1 

STEEFEL, LEVITT & WEISS A PROFESSIONAL CORPORATION

ONE EMBARCADERO CENTER · 30TH FLOOR · SAN FRANCISCO, CA 94111-3719 

Telephone: 415/788-0900 · Facsimile: 415/788-2019

AGREEMENT TO BE BOUND BY STIPULATION AND ORDER 

GOVERNING THE PRODUCTION AND DISCLOSURE OF 

CONFIDENTIAL DOCUMENTS, INFORMATION AND THINGS 

The undersigned _____________________________________ hereby acknowledges that 

he or she has received a copy of the Confidentiality Stipulation and Order (the “Stipulation and 

Order”) in the action entitled Putnam v. Putnam Lovell Group NBF Securities Inc., et al., Case 

No. C 05 1330 CW; has read the Stipulation and Order and agrees to be bound by all the 

provisions thereof; and hereby submits to the jurisdiction of the United States District Court for 

the Northern District of California for purposes of enforcement of the terms of the Stipulation and 

Order and punishment for violations thereof.

Dated: 

 ______________________ 

 [Signature] 

 ______________________ 

 [Address] 

Case 4:05-cv-01330-CW Document 117 Filed 08/11/06 Page 7 of 7