Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_04-cv-03525/USCOURTS-cand-3_04-cv-03525-17/pdf.json

Nature of Suit Code: 710
Nature of Suit: Fair Labor Standards Act
Cause of Action: 28:1441 Petition for Removal- Labor/Mgmnt. Relations

---

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

United States District Court

For the Northern District of California

IN THE UNITED STATES DISTRICT COURT

FOR THE NORTHERN DISTRICT OF CALIFORNIA

JEFF BOWMAN, et al.,

Plaintiffs,

 v.

UBS FINANCIAL SERVICES, INC.,

Defendant. / 

JOSEPH GLASS, et al.,

Plaintiffs,

 v.

UBS FINANCIAL SERVICES, INC., et al.,

Defendants.

 /

No. C-04-3525 MMC

No. C-06-4068 MMC

ORDER DENYING ANTHONY DARIA’S

MOTION TO JOIN OR BE SUBSTITUTED

FOR LAWRENCE R. KAUFMANN AS (1 )

OBJECTOR TO PROPOSED

SETTLEMENT AND (2) MOVANT AND

INTERVENOR-PLAINTIFF IN MOTION

TO INTERVENE, FOR CONSOLIDATION,

AND FOR OTHER RELIEF

Before the Court is “Anthony Daria’s Motion To Join Or Be Substituted For Lawrence

R. Kaufmann As (1) Objector To Proposed Settlement And (2) Movant And IntervenorPlaintiff In Motion To Intervene, For Consolidation, & For Other Relief,” filed November 16,

2006.

In a letter and declaration filed November 15, 2006, Kaufman withdrew his objection

to the proposed settlement in Bowman. By separate order filed concurrently herewith, the

Court has found approval for such withdrawal is not necessary, as Kaufmann is not a

member of the Bowman class and thus lacks standing to assert any objection to the

Bowman settlement. Daria cites no authority permitting him to join or substitute in another

person’s objection and thus avoid any argument that Daria’s objection is untimely, much

Case 3:04-cv-03525-MMC Document 140 Filed 11/16/06 Page 1 of 2
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

1

 The Bowman action is asserted on behalf of a class consisting of all persons who,

between June 30, 2000 and the present, worked for UBS as a Financial Advisor or

Financial Advisor Trainee in California. (See Second Amended Complaint (“SAC”) ¶ 6.) 

Daria’s counsel attests Daria was employed by UBS as a broker in New York. (See

Halebian Decl. ¶ 2.) “The plain language of Rule 23(e) clearly contemplates allowing only

class members to object to settlement proposals.” Gould v. Alleco, Inc., 883 F.2d 281, 284

(4th Cir. 1989). Consequently, “non-class members have no standing to object, pursuant

to a Rule 23(e) notice directed to class members, to a proposed class settlement.” See id.;

see also San Francisco NAACP v. San Francisco Unified School District, 59 F. Supp. 2d

1021, 1032 (N.D. Cal. 1999) (holding “nonclass members have no standing to object to the

settlement of a class action”). 

2

less any authority permitting him to join or substitute himself in place of a person who has

withdrawn an objection. Moreover, Daria, like Kaufmann, is not a member of the Bowman

class and, thus, lacks standing to object to the proposed Bowman settlement.1

Accordingly, Daria’s motion to join in Kaufmann’s withdrawn objection, or to substitute

himself in place of Kaufmann for purposes of asserting Kaufmann’s withdrawn objection, is

hereby DENIED.

By the instant motion, Daria further seeks to join or substitute as the movant in

Kaufmann’s withdrawn motions to intervene in the Bowman and Glass actions. Daria cites

no authority permitting him to join or substitute himself as the movant for purposes of

asserting another person’s motion to intervene. Moreover, because Kaufmann has

withdrawn his motions to intervene, there are no motions pending in which Daria can “join”

or “substitute.” Accordingly, Daria’s motion to join in Kaufmann’s motions to intervene, or

to substitute himself in place of Kaufmann for purposes of making such motions, is hereby

DENIED.

This order terminates Docket No. 136 in Case No. 04-3525 and Docket No. 86 in

Case No. 06-4068. 

IT IS SO ORDERED.

Dated: November 16, 2006 

MAXINE M. CHESNEY

United States District Judge

Case 3:04-cv-03525-MMC Document 140 Filed 11/16/06 Page 2 of 2