Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_17-cv-06389/USCOURTS-cand-3_17-cv-06389-0/pdf.json

Nature of Suit Code: 791
Nature of Suit: Employee Retirement Income Security Act (ERISA)
Cause of Action: 29:1001 E.R.I.S.A.: Employee Retirement

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JOINT STIPULATION TO DISMISS ALL ERISA CLAIMS AND REMAND STATE CLAIM

– Case No. 3:17-cv-04669-WHO - 1 -

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BEN SUTER, CASB No. 107680

ben.suter@kyl.com

TAYLOR J. ALTMAN, CASB No. 315332

taylor.altman@kyl.com

KEESAL, YOUNG & LOGAN

A Professional Corporation

450 Pacific Avenue

San Francisco, California 94133

Telephone: (415) 398-6000

Facsimile: (415) 981-0136

Attorneys for Plaintiff in Interpleader

OPPENHEIMER & CO., INC.

James Farinaro (CA Bar No. 146189)

jfarinaro@aol.com

LAW OFFICES OF JAMES FARINARO

852 East 14th Street

San Leandro, CA 94577

Telephone: (510) 553-1200

Attorneys for Defendant in Interpleader 

JULIANNE F. CATALANO

Patrick Catalano (CA Bar No. 60774)

patrick.catalano@legalcat.com

Mark Poppett (CA Bar No. 64939)

mark.poppett@legalcat.com

CATALANO & CATALANO

459 Manzano Place

Chula Vista, CA 91910

Telephone: (619) 233-3565

Facsimile: (619) 216-8871

Attorneys for Defendant in Interpleader

CONNI TROEST CATALANO

UNITED STATES DISTRICT COURT

FOR THE NORTHERN DISTRICT OF CALIFORNIA

OPPENHEIMER & CO., INC.,

Plaintiff in Interpleader,

vs.

JULIANNE F. CATALANO; CONNI TROEST 

CATALANO,

 

Defendants in Interpleader.

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Case No. 3:17-cv-04669-WHO

JOINT STIPULATION TO DISMISS ALL 

ERISA CLAIMS AND REMAND STATE 

CLAIM AND ORDER THEREON

[Related to Case No. 3:17-cv-06389-WHO]

TO THIS HONORABLE COURT OF RECORD:

IT IS HEREBY STIPULATED by the parties through their respective counsel as follows:

Case 3:17-cv-06389-WHO Document 46 Filed 04/09/19 Page 1 of 6
JOINT STIPULATION TO DISMISS ALL ERISA CLAIMS AND REMAND STATE CLAIM

– Case No.3: 17-CV-04669-WHO - 2 -

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(1) The parties previously stipulated to settle all ERISA claims that they may have against 

each other, including the claim of Oppenheimer & Co. Inc. (hereinafter “Oppenheimer”) for attorney’s 

fees and costs on its Interpleader action. The parties filed this Stipulation with this Court on or about 

February 13, 2018 (the “Joint Stipulation”) [Dkt. 41]. There were two related federal actions: the 

Interpleader Action (no. 3:17-cv-04669-WHO) and related removed action (no. 3:17-cv-6389-WHO, 

i.e.,San Francisco Superior Court no. CGC17-559627). Claims for attorney’s fees and costs relating to 

the ERISA claims were previously waived by the parties.

(2) The Joint Stipulation provided that Oppenheimer would liquidate the SEP-IRA and 

receive $45,000.00 from SEP-IRA account which was the subject of the Interpleader action no. 3:17-

cv-04669-WHO, as consideration for the terms of the Joint Stipulation. Since the parties filed the Joint 

Stipulation, Oppenheimer has liquidated the SEP-IRA and received the $45,000.00.

(3) The remainder of monies in the SEP-IRA account which is the subject of the Interpleader 

action, after payment of the compromised sum of $45,000.00 to Oppenheimer was to be transferred to 

an Oppenheimer 529 Education Savings Account, for the benefit of the education of decedent Jannik 

Catalano’s two minor children equally until the children reach the age of 18 years, at which time the 

funds may be used for the children’s education.

(4) As to the remainder of the liquidated funds, the parties have agreed that it is in the best 

interests of all the parties to transfer the remining funds to a new broker on similar terms to place the 

funds in 529 Education Savings Account. The parties are in the process of finalizing the transfer of the 

remaining funds to Julianne Catalano as custodian for the two minor children to deposit with a new 

broker per the same terms as provided in the Joint Stipulation for a 529 Education Savings Account, 

and do not require further assistance from the court. 

NOW THEREFORE, the parties make this Stipulation through their respective counsel, and 

request that the Court enter the following dismissals and remand order: 

(1) Dismissal with Prejudice of Interpleader Action No. 3:17-cv-04669-WHO; 

(2) Dismissal with Prejudice of the Complaint entitled Julianne F. Catalano v. Oppenheimer 

& Co., Inc., in the removed action no. 3:17-cv-06389-WHO (San Francisco Superior Court no. CGC17-

559627), as to defendant Conni Troest Catalano (Oppenheimer has already been dismissed from the 

Case 3:17-cv-06389-WHO Document 46 Filed 04/09/19 Page 2 of 6
JOINT STIPULATION TO DISMISS ALL ERISA CLAIMS AND REMAND STATE CLAIM

– Case No.3: 17-CV-04669-WHO - 3 -

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action); 

(3) Dismissal with prejudice of the First Cause of Action for Declaratory Relief (brought 

against cross-defendants Julianne Catalano and Oppenheimer, arising out of ERISA claims) and Third 

Cause of Action for Breach of Fiduciary Duty (brought against Oppenheimer only, arising out of ERISA 

claims) in the Second Amended Cross-Complaint of Conni Troest Catalano, entitled Conni Troest 

Catalano v. Oppenheimer & Co., Inc., in the removed action no. 3:17-cv-06389-WHO (San Francisco 

Superior Court action no CGC17-559627).

(4) The Second Cause of Action for Declaratory and Injunctive Relief on non-ERISA claims 

in the Second Amended Cross-Complaint in the removed action no. 3:17-cv-06389-WHO (San 

Francisco Superior Court no. CGC17-559627) survive and are remanded to the San Francisco Superior 

Court for further proceedings.

(5) The remainder of the monies in the SEP-IRA account which is the subject of the 

Interpleader Action, after payment of the compromised sum of $45,000.00 to Oppenheimer shall be 

transferred to a 529 Education Savings Account for the benefit of the education of Jannik Catalano’s 

two minor children equally with the provision that the funds cannot be used, except upon Court Order, 

until the children reach the age of 18 years, at which time the funds may be used for the children’s 

education, and the guardian for the account shall be Julianne Catalano. 

 

 Respectfully submitted,

DATED: April 5, 2019 /s/Ben Suter________________________________

BEN SUTER

TAYLOR J. ALTMAN

ATTORNEYS FOR PLAINTIFF

OPPENHEIMER & CO., INC.

DATED: April 5, 2019 /s/James Farinaro____________________________

JAMES FARINARO

LAW OFFICES OF JAMES FARINARO

ATTORNEYS FOR DEFENDANT IN 

INTERPLEADER

JULIANNE F. CATALANO

Case 3:17-cv-06389-WHO Document 46 Filed 04/09/19 Page 3 of 6
JOINT STIPULATION TO DISMISS ALL ERISA CLAIMS AND REMAND STATE CLAIM

– Case No.3: 17-CV-04669-WHO - 4 -

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DATED: April 5, 2019 /s/Mark Poppett_____________________________

PATRICK CATALANO

MARK POPPETT

CATALANO & CATALANO

ATTORNEYS FOR DEFENDANT IN 

INTERPLEADER CONNI TROEST CATALANO

Case 3:17-cv-06389-WHO Document 46 Filed 04/09/19 Page 4 of 6
ORDER TO DISMISS ALL ERISA CLAIMS AND REMAND STATE CLAIM

– Case No. 3:17-cv-04669-WHO - 1 -

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ORDER

Pursuant to the stipulation of the parties, IT IS ORDERED as follows:

(1) Dismissal with Prejudice of Interpleader Action No. 3:17-cv-04669-WHO; 

(2) Dismissal with Prejudice of the Complaint entitled Julianne F. Catalano v. Oppenheimer 

& Co., Inc., in the removed action no. 3:17-cv-06389-WHO (San Francisco Superior Court no. CGC17-

559627), as to defendant Conni Troest Catalano (Oppenheimer has already been dismissed from the 

action); 

(3) Dismissal with prejudice of the First Cause of Action for Declaratory Relief (brought 

against cross-defendants Julianne Catalano and Oppenheimer, arising out of ERISA claims) and Third 

Cause of Action for Breach of Fiduciary Duty (brought against Oppenheimer only, arising out of ERISA 

claims) in the Second Amended Cross-Complaint of Conni Troest Catalano, entitled Conni Troest 

Catalano v. Oppenheimer & Co., Inc., in the removed action no. 3:17-cv-06389-WHO (San Francisco 

Superior Court action no CGC17-559627).

(4) The Second Cause of Action for Declaratory and Injunctive Relief on non-ERISA claims 

in the Second Amended Cross-Complaint in the removed action no. 3:17-cv-06389-WHO (San 

Francisco Superior Court no. CGC17-559627) survive and are remanded to the San Francisco Superior 

Court for further proceedings.

(5) The remainder of the monies in the SEP-IRA account which is the subject of the 

Interpleader Action, after payment of the compromised sum of $45,000.00 to Oppenheimer shall be 

transferred to a 529 Education Savings Account for the benefit of the education of Jannik Catalano’s 

two minor children equally with the provision that the funds cannot be used, except upon Court Order, 

until the children reach the age of 18 years, at which time the funds may be used for the children’s 

education, and the guardian for the account shall be Julianne Catalano. 

Case 3:17-cv-06389-WHO Document 46 Filed 04/09/19 Page 5 of 6
JOINT STIPULATION TO DISMISS ALL ERISA CLAIMS AND REMAND STATE CLAIM

– Case No.3: 17-CV-04669-WHO - 2 -

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DATED: APRIL 9, 2019 _______________________________________

HONORABLE WILLIAM H. ORRICK

UNITED STATES DISTRICT JUDGE

Case 3:17-cv-06389-WHO Document 46 Filed 04/09/19 Page 6 of 6