Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-5_07-cv-05069/USCOURTS-cand-5_07-cv-05069-3/pdf.json

Nature of Suit Code: 890
Nature of Suit: Other Statutory Actions
Cause of Action: 28:1331 Fed. Question

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[COUNSEL OF RECORD LISTED ON LAST PAGE] 

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

RICHARD T. THIERIOT, an individual; 

 Plaintiff, 

 v. 

AIG MATCHED FUNDING CORP., a 

corporation; AIG FINANCIAL SECURITIES 

CORP., a corporation; AIG FINANCIAL 

PRODUCTS CORP., a corporation; AMERICAN 

INTERNATIONAL GROUP, INC., a corporation; 

BANQUE AIG, a corporation; and DOES ONE 

THROUGH THIRTY, inclusive; 

 Defendants. 

Case No. 07-5069 JW (RS) 

CONFIDENTIALITY 

STIPULATION AND 

PROTECTIVE ORDER 

 

Upon agreement of Plaintiff Richard T. Thieriot and defendants AIG Matched 

Funding Corp., AIG Financial Securities Corp., AIG Financial Products Corp., American 

International Group, Inc., and Banque AIG (together “AIG”),1 it is hereby STIPULATED 

AND AGREED that: 

 1. This Stipulation shall govern the use and dissemination of materials 

that have been designated as “Confidential” pursuant to Paragraph 3 below during the 

course of this litigation, entitled Thieriot v. AIG Matched Funding Corp., et al., Case No. 

07-5069 JW (RS) (the “Litigation”). The terms of this Stipulation shall also govern all 

information or documents previously exchanged that have been appropriately designated 

as “Confidential,” as well as discovery materials (documents, interrogatory answers, 

responses to requests for admissions, depositions and exhibits) produced or obtained from 

any party in the course of this Litigation (collectively, the “Material”) to the extent such 

 

CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

1

 Plaintiff and AIG shall be referred to herein collectively as the “Parties” and individually 

as a “Party.”

*E-FILED 4/11/08*

Case 5:07-cv-05069-JW Document 36 Filed 04/11/08 Page 1 of 12
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CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

 

documents qualify for confidential treatment under the terms of Paragraph 3. 

 2. All Material exchanged between and among the Parties during the 

course of this Litigation shall be used for purposes of evaluating and litigating claims 

asserted in this Litigation (“Permissible Uses”) and shall not be disclosed to any other 

person or entity except in accordance with the terms hereof, except under the 

circumstances and pursuant to the terms set out in Paragraph 11 hereof. Material that is 

already in the possession of the Receiving Party, or which has already been made a part of 

the public domain or record, shall not be subject to this Stipulation.2 Should either Party 

seek to use any Material in other litigation to which he, she, or it is a party, the Parties will 

meet and confer in good faith to address such use, and in the absence of agreement, the 

Party seeking to make such use of the Material may seek relief as permitted by Paragraph 

15(g) hereof. 

 3. The Parties may designate any Material produced by any Party or 

non-party as confidential (“Confidential”) in accordance with and subject to the terms of 

this Stipulation. In addition, any non-party may designate any Material as Confidential in 

accordance with and subject to the terms of this Stipulation. The Designating Party shall 

have the right to designate any Material as Confidential so long as it believes in good faith 

that such Material constitutes, contains or would disclose sensitive proprietary business 

information, a trade secret, private financial or sensitive personal information (including 

but not limited to social security numbers, tax returns, bank records, financial institution 

and accounting records) of any person or entity, including, without limitation, any 

customer of AIG (“Confidential Material”). A Designating Party must take care to 

designate those parts of material or documents that qualify as “Confidential” and if it 

comes to a party’s attention that information or items that it designated for protection do 

not qualify for protection, or do not qualify for the level of protection initially asserted, 

2

 As used herein, the term “Designating Party” shall refer to any Party or non-party who 

produces and/or designates Material as “Confidential” and the term “Receiving Party” shall refer 

to any Party to whom Material designated as “Confidential” is produced.

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CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

that party must notify all other parties that it is withdrawing the mistaken designation. 

Parties shall not assert blanket confidentiality designations to productions, without a 

stipulation amongst them, and any previously produced documents that contain such 

blanket productions shall be replaced with a document production that contains 

appropriate confidentiality designations. Failure to do so without a stipulation to the 

contrary, or failure to make confidentiality designations in good faith, may warrant the 

Designating Party to sanctions. 

 4. Confidential Material shall not include any information that: (a) is 

already public knowledge or otherwise in the public domain, (b) has become public 

knowledge or enters the public domain other than as a result of a disclosure in violation of 

this Stipulation, (c) has come or shall come into a Receiving Party’s legitimate possession 

from sources other than the Designating Party and other than as a direct or indirect result 

of theft or a breach of a confidentiality or non-disclosure agreement, or (d) has come or 

shall come into a Receiving Party’s legitimate possession through discovery from third 

parties which has never been designated as Confidential Material pursuant to paragraph 3, 

above. 

 5. The designation of Material as Confidential shall be made in the 

following manner: 

 (a) In the case of documents or other written materials 

(apart from depositions or other pre-trial testimony): by affixing (without 

obscuring or defacing the document) the legend “Confidential” to each 

page containing any Confidential Material, or by otherwise indicating via 

cover letter or other written communication by the Designing Party that the 

materials are Confidential; and 

 (b) In the case of depositions or other pretrial testimony, 

including any exhibits introduced or discussed during such deposition or 

other pretrial testimony: by written notice, sent by counsel for the 

Designating Party to all other Parties and non-parties within thirty (30) 

Case 5:07-cv-05069-JW Document 36 Filed 04/11/08 Page 3 of 12
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CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

days after receiving a copy of the transcript thereof, listing the specific 

pages and lines of the transcript that should be treated as Confidential. If a 

Confidential designation is made, the court reporter shall be directed to 

place a notation on the cover of the transcript stating that it contains 

Confidential Material, and such notation shall be affixed to each copy of 

the transcript in the possession, custody or control of the Parties and nonparties to the Litigation who are permitted access to such Confidential 

Material pursuant to Paragraph 10 hereof. A party shall designate specific 

portions of deposition transcripts as Confidential only if it believes in good 

faith that such Material satisfies the criteria specified in Paragraph 3. If it 

comes to a party’s attention that information or items that it designated for 

protection do not qualify for protection, or do not qualify for the level of 

protection initially asserted, that party must notify all other parties that it is 

withdrawing the mistaken designation. If a party claims that any 

deposition exhibit is Confidential, the parties shall have the opportunity to 

meet and confer about the specific information contained therein which is 

Confidential, and the party marking the document as an exhibit shall have 

the opportunity to submit a redacted document, if possible, so as to avoid a 

Confidential designation. All depositions and other pre-trial testimony 

shall be treated as Confidential in their entirety, and shall not be submitted 

to any court except as provided in Paragraph 12 below, until the expiration 

of the final date for giving written notice of confidentiality as provided in 

this paragraph.

For documents that have been produced or transcripts that have been transcribed 

prior to the Stipulation having been approved by the Court, the Parties shall have thirty 

(30) days thereafter in which to designate any documents or transcripts as Confidential. 

 6. If, at any time after producing a document or information, the 

Designating Party determines that certain Material should have been designated as 

Case 5:07-cv-05069-JW Document 36 Filed 04/11/08 Page 4 of 12
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CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

Confidential, the Designating Party shall promptly provide a replacement copy of the 

Material bearing a Confidential designation to the Party or Parties to whom the document 

or information was produced or in the case of Material produced electronically or via 

originals or third parties, shall clearly identify which specific document or information 

should have been designated as Confidential, at which time the Material will be deemed 

Confidential. The other Parties shall promptly return the undesignated Material (and all 

copies thereof) to the Designating Party after receiving the replacement Confidential 

Material, unless such undesignated Material was previously incorporated into court 

filings. In the event that the Material subsequently designated as Confidential has been 

previously incorporated into a court filing, the portion of the court filing incorporating 

such Material need not be returned but shall be designated Confidential or otherwise 

placed under seal in accordance with this Stipulation. 

 7. Nothing in this Stipulation shall require disclosure of material that 

is protected by the attorney-client privilege or work-product immunity or other applicable 

protection. Inadvertent production of any document or thing which any party later 

discovers should not have been produced because of a privilege or immunity shall not be 

deemed to waive any such privilege or immunity. Any party may, upon discovery of 

inadvertent production, request the return of any such document. Upon any party’s 

request, the possessing party shall within three days return to the Designating Party the 

inadvertently produced document and all copies thereof and shall expunge from any other 

document or material information derived from the inadvertently produced document. 

 8. A Party shall not be obligated to challenge the propriety of a 

designation of Material as Confidential at the time it is made, and a failure to do so shall 

not preclude a subsequent challenge thereto. Any Party may in good faith object to the 

designation of any Material as Confidential or to the limitations as to the use and 

disclosure of such information, by providing written notice of such objections to the 

Designating Party. The grounds for any objections shall be stated with reasonable 

particularity. The Parties and affected non-parties shall thereafter attempt to resolve such 

Case 5:07-cv-05069-JW Document 36 Filed 04/11/08 Page 5 of 12
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CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

dispute in good faith on an informal basis. If the dispute cannot be resolved within fifteen 

(15) days, the Designating Party may, within ten (10) days thereafter, apply to the Court, 

on reasonable notice, for an order upholding the designated status or limitation as to the 

use and disclosure of such information, as the case may be. The failure to do so shall 

result in the withdrawal of the designation. At all times, the burden of proof in any court 

proceeding shall remain on the Party designating the Confidential Material. At all times, 

the parties shall also endeavor to resolve any disputes as to confidentiality designations in 

good faith and amicably. 

 9. Materials designated as Confidential shall not be given, shown, 

made available or communicated in any way (in whole or in part) except to the following 

persons: 

 (a) Counsel of record to the Parties in the Litigation and 

attorneys, paralegals and other support staff employed by such counsel or 

retained by the Parties; 

 (b) The Parties, including current and former directors, 

officers and employees of the Parties in connection with Permissible Uses 

and only to the extent reasonably necessary to aid counsel in conducting 

the Litigation; 

 (c) Witnesses or deponents (and their counsel) during 

the course of and to the extent necessary in preparation for testimony in the 

Litigation; 

 (d) Witnesses, potential witnesses, deponents, or other 

parties when the Confidential Material was authored by, directed to, or 

expressly makes reference to said party; 

 (e) Experts or consultants (and their counsel) and 

employees of such experts or consultants retained or consulted by the 

Parties in connection with Permissible Uses in the Litigation; 

 (f) This Court and Court personnel, including 

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CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

specifically the Court’s law clerks, court reporters and the Clerk of the 

Court; 

 (g) Any outside vendors retained by the Parties to 

perform any photocopying, computer imaging, data processing, court 

reporting or other similar clerical services in the Litigation, but only for so 

long as is necessary to perform such services; 

 (h) Any person who is indicated on the face of a 

document to have been an author, addressee or recipient thereof; 

 (i) Any mediator(s) agreed upon by the Parties or 

directed by the Court to conduct a mediation of the claims asserted in this 

Litigation; and 

 (j) Any other person upon order of the Court, after 

notice and a hearing, or upon written consent of the Designating Party or 

non-party. 

 10. Each person – excluding counsel of record and attorneys, paralegals 

and support staff employed by such counsel or retained by the Parties, the Court, and 

Court personnel – given access to Confidential Material pursuant to Paragraph 9 hereof, 

shall be (in advance of being given access to such Confidential Material) (a) advised that 

(i) the Confidential Material is being disclosed pursuant to and subject to the terms of this 

Stipulation and may not be disclosed other than pursuant to the terms hereof and (ii) the 

failure to abide by the terms hereof may be punishable as a contempt of Court, and (b) 

required to sign the Acknowledgment and Agreement to be Bound attached hereto as 

Exhibit A. 

 11. In the event that any Party hereto or a recipient of Confidential 

Materials pursuant to Paragraph 9 hereof shall receive a subpoena, civil investigative 

demand or other form of legal process (the “Discovery Request”) from any non-party 

(including, without limitation, any party to any action other than the Litigation, or any 

state, federal or foreign investigative, regulatory or administrative body or agency) 

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CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

seeking the production of Confidential Material, the party receiving the Discovery 

Request shall promptly disclose such fact to the Designating Party and shall not disclose 

any Confidential Material in response thereto without first providing the Designating 

Party a reasonable opportunity to seek appropriate protective treatment or other relief. 

The party receiving the Discovery Request shall immediately provide the Designating 

Party with telephonic and written notice of the Discovery Request and shall immediately 

send a copy of the Discovery Request to the Designating Party by facsimile and/or 

overnight mail. It shall be the obligation of the Designating Party to obtain an order from 

the appropriate Court to preclude or restrict production of any Confidential Material 

requested pursuant to the Discovery Request. The party receiving the Discovery Request 

shall continue to abide by the terms of this Stipulation and maintain the confidentiality of 

any Confidential Material sought by the Discovery Request unless and until either (a) the 

Designating Party consents to the production of Confidential Material pursuant to the 

Discovery Request, (b) the party receiving the Discovery Request is directed to produce 

the Confidential Material by a Court having competent jurisdiction over the dispute and 

the parties thereto, or (c) the Designating Party has failed to obtain an order from the 

appropriate Court to preclude or restrict production of any Confidential Material requested 

pursuant to the Discovery Request by the date for compliance stated in the Discovery 

Request. The party receiving the Discovery Request shall not impede or inhibit the 

Designating Party from seeking relief from an appropriate Court. 

 12. Without written permission from the Designating Party or a court 

order secured after appropriate notice to all interested persons, a Party may not file in the 

public record in this action any Confidential Material. A Party that seeks to file under seal 

any Confidential Material must comply with Civil Local Rule 79-5. 

 13. In the event additional parties are joined or permitted to intervene in 

this Litigation, they shall be bound by the terms of this Stipulation. 

14. Nothing herein shall prevent any counsel of record from using any 

Confidential Material on direct or cross-examination or during oral argument at any 

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CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

evidentiary hearing or trial, so long as, in advance of any evidentiary hearing or trial 

where it is reasonably anticipated that Confidential Material will be disclosed, the Parties 

will meet and confer to ensure that the confidential nature of such Confidential Material 

will be protected, including a Party or the Parties seeking additional protective relief from 

the Court in connection with such hearing or trial. The Parties reserve the right to seek 

additional protective relief from the court in connection with any such hearing or trial. 

15. Nothing herein shall be deemed or construed to restrict or prejudice 

in any manner: 

(a) the right of any Party or non-party, including 

without limitation, any customer of AIG, to assert that certain information 

is so highly confidential as not to be subject to discovery; 

(b) the right of any Party or non-party to resist or object 

to the production of documents or disclosure of information on any other 

grounds; 

(c) the right of any Party to contest another Party’s or 

non-party’s basis for designating Material as Confidential; 

(d) the right of any Party or non-party to seek additional 

protective relief with respect to any document or information sought in the 

course of discovery or otherwise; 

(e) the right of any Party to object to the admissibility, 

authenticity, relevance or use of any Confidential Material at any hearing 

or trial; 

(f) the right of any Party to seek to compel additional 

discovery; or 

(g) the right of any Party to seek modification or other 

relief from the Court with respect to any or all of the provisions of this 

Stipulation. 

16. Aside from the exceptions and limitations herein, nothing shall 

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CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

restrict the right of any Party or non-party to use his, her or its own documents or 

information designated as Confidential Material for any purpose whatsoever, except that 

nothing shall be construed herein to relieve AIG from its obligations, if any, under 

applicable law, to maintain the confidentiality of Mr. Thieriot’s personal financial 

information. 

17. Nothing herein shall be deemed or construed as a waiver of any 

applicable privilege or protection, right of privacy or proprietary interest with respect to 

any Confidential Material. 

18. The provisions of this Stipulation shall continue to be binding 

throughout and after the final determination of this Litigation, including without limitation 

any appeals therefrom. Within 45 days after receiving notice of the entry of a final, nonappealable order or decree terminating and disposing of this Litigation, all Parties and 

non-parties having received Confidential Material shall, absent a Court order or agreement 

of the Parties, either return all Confidential Material, including any copies thereof, to the 

Designating Party or, alternatively, destroy all such Material and certify in writing that 

such Material has been destroyed. This shall not apply to depositions, including transcripts 

and deposition exhibits. The certification shall confirm that counsel has destroyed all 

documents within its possession as well as, to the extent possible, documents that have 

been provided to others in accordance with this Stipulation. Notwithstanding the 

foregoing: (a) counsel (including in-house counsel) for the parties shall be entitled to 

retain for their files a set of all pleadings, motion papers, court filings, discovery requests, 

expert reports, mediation briefs and exhibits, hearing and trial transcripts (including 

exhibits) and attorney work product (including legal research) which incorporate, contain 

or refer to any Confidential Material, as well as the Parties’ own attorney-client privileged 

correspondence and communications, provided that such materials remain subject to the 

terms and conditions of this Stipulation; (b) the Parties may retain working copies of 

Confidential Material containing tax or financial information necessary for their continued 

business operations and obligations to state, federal and foreign regulatory and 

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CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

administrative agencies; and (c) to the extent subpoenaed or produced in another 

litigation, the Parties may retain copies of Confidential Materials as necessary for 

purposes or record-keeping in that Litigation. 

 19. Neither the termination of the Litigation, nor the termination of 

employment of any person who has had access to any Confidential Material, shall relieve 

such person of his or her obligations hereunder, which shall survive. 

 20. This Order may be modified by written agreement of the affected 

Parties without further order of the Court. 

Dated: April 11, 2008 Nicolle Jacoby 

H. Joseph Escher III 

France Jaffe 

DECHERT LLP 

/s/ France Jaffe 

France Jaffe 

Attorneys for AIG Defendants 

Dated: April 11, 2008 William M. Lukens 

Jennifer L. Jonak 

LUKENS LAW GROUP 

/s/ Jennifer L. Jonak 

Jennifer L. Jonak 

Attorneys for Plaintiff Thieriot 

IT IS SO ORDERED: 

Dated: _____________, 2008 _________________________________ 

 THE HON. RICHARD SEEBORG 

 United States Magistrate Judge 

April 11

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CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER (C 07-5069 JW) 

EXHIBIT A 

ACKNOWLEDGEMENT AND AGREEMENT TO BE BOUND

I, ________________________________________ [print or type full name], of 

________________________________________________________________________ 

[print or type full address], declare under penalty of perjury that I have read in its entirety 

and understand the Stipulated Protective Order that was issued by the United States 

District Court for the Northern District of California on [date] in the case of Thieriot v.

AIG, et al., Case No. 07-5069 JW (RS). I agree to comply with and to be bound by all the 

terms of this Stipulated Protective Order and I understand and acknowledge that failure to 

so comply could expose me to sanctions and punishment in the nature of contempt. I 

solemnly promise that I will not disclose in any manner any information or item that is 

subject to this Stipulated Protective Order to any person or entity except in strict 

compliance with the provisions of this Order. 

I further agree to submit to the jurisdiction of the United States District Court for 

the Northern District of California for the purpose of enforcing the terms of this Stipulated 

Protective Order, even if such enforcement proceedings occur after termination of this 

action. 

Date: _________________________________ 

City and State: _________________________________ 

Printed Name: _________________________________ 

Signature: _________________________________ 

 

13148917.1.LITIGATION 4/11/2008 1:25 PM 

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