Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-4_13-cv-02876/USCOURTS-cand-4_13-cv-02876-16/pdf.json

Nature of Suit Code: 220
Nature of Suit: Foreclosure
Cause of Action: 28:1332 Diversity-Petition for Removal

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United States District Court

Northern District of California

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

SIMMONS FIRST NATIONAL BANK,

Plaintiff,

v.

RICHARD C. LEHMAN, et al.,

Defendants.

Case No. 13-cv-02876-DMR 

ORDER ON OBJECTIONS TO 

EXHIBITS

Re: Dkt. Nos. 171, 183, 184

This order sets forth the court’s rulings on the parties’ objections to exhibits, as stated on 

the record at the April 15, 2015 pretrial conference. The parties shall meet and confer regarding 

culling or consolidating duplicate exhibits. Counsel are reminded that exhibits which the court 

has deemed admissible do not become part of the record at trial unless and until counsel 

move for their admission.

I. Plaintiff’s Exhibits

No. Description Ruling on Objections

1 Am. depo notice for Koo Withdrawn

2 financial statement as of 7/20/10 

(handwritten “Bonhomme Invest”)

Sustained

3 Financial statement as of 6/20/12 

(handwritten “Richard Lehman”)

Sustained

4 Promissory note, $3 M loan Stipulated as to admissibility 

5 Lehman’s guaranty of $3 M loan Overruled

6 Third party pledge agreement Overruled

7 No exhibit 7.

8 Borrower estimated closing statement for 

Woodside property

Overruled, subject to proper business 

record foundation

9 Recorded long form Deed of Trust Stipulated as to admissibility

10 Appraisal of Woodside property for Excel, 

borrower Lehman (1/12/09)

Taken under submission

11 Appraisal of Woodside property for Excel, Taken under submission

Case 4:13-cv-02876-DMR Document 213 Filed 04/17/15 Page 1 of 6
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United States District Court

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borrower Bonhomme (6/21/11)

12 Koo’s original answer with affirmative 

defenses

Stipulated as to admissibility

13 No exhibit 13.

14 Promissory note Stipulated as to admissibility

15 Line of credit agreement Overruled

16 Recorded long form Deed of Trust Stipulated as to admissibility; parties to 

meet and confer re consolidating exhibits

17 Account info and client agreement bet. 

Raymond James Fin. Servs. and Defs

Stipulated as to admissibility

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21

No exhibits 18-21

22 Operating agreement of Bonhomme Stipulated as to admissibility

23 Schedule A Bonhomme Stipulated as to admissibility

24 Guaranty executed as to Davis, $3 M loan Overruled

25 Third party pledge agreement Overruled; parties to meet and confer re 

consolidating exhibits

26 Notice of right to receive copy of appraisal 

of Woodside property, 1/27/09

Overruled, subject to proper business 

record foundation

27 Appraisal order form re Woodside 

property, ordered 5/9/11

Withdrawn 

28 Notice of right to receive copy of appraisal 

of Woodside property, 6/19/09

Overruled, subject to proper business 

record foundation

29 Extension agreement, 5/29/11 Overruled

30 Extension agreement, 6/28/11 Overruled

31 No exhibit 31

32 Promissory note for $1.6 M loan to 

Bonhomme

Overruled

33 No exhibit 33

34 9/11 email from Steve Walkup to Aaron 

Black (cc Trisha Clark) re Woodside 

property appraisal report

Sustained

35 Appraisal review checklist Sustained

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39

No exhibits 36-39

40 Borrower’s escrow instructions 

(purportedly signed by Koo and Lehman)

Overruled, subject to proper business 

record foundation

41 Account info and client agreement bet. 

Raymond James Fin. Servs. and Defs

Stipulated as to admissibility

42 No exhibit 42

43 Letter from Koo to Lisa Masters Stipulated as to admissibility

44 App. A Form of Investor Certification ACAP 

Strategic fund

Stipulated as to admissibility

45 No exhibit 45

46 Recorded application for reinstatement Stipulated as to admissibility

47 No exhibit 47

48 Power of attorney Stipulated as to admissibility

49 No exhibit 49

50 Assignment by Lehman of membership Stipulated as to admissibility

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United States District Court

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interest in Bonhomme to Lehman and Koo

51 No exhibit 51

52 Amendment Koo revocable living trust 

agreement

Stipulated as to admissibility

53 Articles of organization Stipulated as to admissibility

54 IRS form Stipulated as to admissibility

55 No exhibit 55

56 2007 annual registration report Stipulated as to admissibility

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No exhibits 57-59

60 Inquirer nonmonetary Deanna Frailey Sustained

61 No exhibit 61

62 Guaranty executed by Lehman as to $3 M 

loan

Overruled

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78

No exhibits 63-78

79 P’s first set of RFAs to Koo Stipulated as to admissibility

80 Koo’s objections, answers to RFAs Stipulated as to admissibility

81 Emails from Tony Fregoso to Koo re 

Woodside property

Overruled in part, portion of email 

exchange (Koo email 5/6/13) admissible 

as party admission; parties to meet and 

confer to narrow exhibit 

82 Answer, aff. defenses and counterclaims of 

Koo

Withdrawn

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86

P’s second, third RFAs to Koo and her 

objections and answers

Stipulated as to admissibility

87 2/17/09 closing letter from Chicago Title 

Co./Kim Robertson to Mr. and Mrs. Lehman

Overruled, subject to proper business 

record foundation

88, 

91-

122

No exhibits 89, 90. Various handwriting 

exemplars

Stipulated as to admissibility

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129

No exhibits 123-129

130 Grant deed recorded in County of San 

Mateo

Stipulated as to admissibility

131 Lehman and Koo’s MO and CA driver’s 

licenses

Overruled 

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133

No exhibits 132, 133

134 Preliminary report from Chicago Title Co. to 

Excel re Woodside property

Overruled, subject to proper business 

record foundation

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141

No exhibits 135-141

142 Borrower’s escrow instructions from 

Chicago Title Co. (uninitialled copy)

Objection withdrawn (same document as 

Defendants’ Ex. O)

143 Borrower’s escrow instructions from 

Chicago Title Co. (initialed, signed copy)

Overruled, subject to proper business 

record foundation

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145

No exhibit 144-145

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United States District Court

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146 Borrower’s estimated closing statement, 

Chicago Title Co.

Overruled, subject to proper business 

record foundation

147 No exhibit 147

148 Closing letter from Chicago Title Co to Mr. 

& Mrs. Lehman

Overruled, subject to proper business 

record foundation

149 2/17/09 letter from Chicago Title Co to 

Linda Eggleston, Excel

Overruled, subject to proper business 

record foundation

150 Borrower’s final closing statement from 

Chicago Title Co. w/email attach.

Overruled, subject to proper business 

record foundation; sustained as to 

second page (email)

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153

No exhibits 151-153

154, 

158

P’s first RFAs to Lehman and his objections 

and answers (no exhibits 155-157)

Stipulated as to admissibility

159 Photocopy of 2/17/09 check for $8.50 paid 

to Defs

Overruled, subject to proper business 

record foundation

160 Loan history, Bonhomme Inv. Partners Objections withdrawn. Defendants also 

agreed to stipulate to Bonhomme’s 

receipt of proceeds of loans. See Exhibits 

161-172.

161 Excel Bank domestic outgoing wire form, 

4/6/09

Sustained; Plaintiff may offer only if 

Defendants open the door as to 

relevance

162 Request for advance from line of credit to 

be wired, 5/13/09

Sustained; Plaintiff may offer only if 

Defendants open the door as to 

relevance

163 Excel Bank domestic outgoing wire form, 

5/13/09

Sustained; Plaintiff may offer only if 

Defendants open the door as to 

relevance

164 Documentation for line of credits, 5/26/10 Sustained; Plaintiff may offer only if 

Defendants open the door as to 

relevance

165 Excel Bank domestic outgoing wire form, 

7/28/09 (1 of 3 on that date)

Sustained; Plaintiff may offer only if 

Defendants open the door as to 

relevance

166 Excel Bank domestic outgoing wire form, 

7/28/09 (2 of 3 on that date)

Sustained; Plaintiff may offer only if 

Defendants open the door as to 

relevance

167 Excel Bank domestic outgoing wire form, 

7/28/09 (3 of 3 on that date)

Sustained; Plaintiff may offer only if 

Defendants open the door as to 

relevance

168 Request for advance from line of credit to 

be wired, 7/25/09

Sustained; Plaintiff may offer only if 

Defendants open the door as to 

relevance

169 Documentation for line of credits, 6/2/10 Sustained; Plaintiff may offer only if 

Defendants open the door as to 

relevance

170 Documentation for line of credits, 6/9/10 Sustained; Plaintiff may offer only if 

Case 4:13-cv-02876-DMR Document 213 Filed 04/17/15 Page 4 of 6
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United States District Court

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Defendants open the door as to 

relevance

171 Documentation for line of credits, 6/18/10 Sustained; Plaintiff may offer only if 

Defendants open the door as to 

relevance

172 Documentation for line of credits, 6/24/10 Sustained; Plaintiff may offer only if 

Defendants open the door as to 

relevance

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182

Various handwriting exemplars Stipulated as to admissibility

183 Guaranty signed by Lehman for $1.6 M loan Overruled

184 Various signature pages signed by Lehman Stipulated as to admissibility

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186

No exhibits 185, 186

187 Purchase and assumption agreement 

between FDIC and Simmons

Stipulated as to admissibility

188 No exhibit 188

189 Assignment of Deed of Trust Stipulated as to admissibility

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199

No exhibits 190-199

200 P’s expert witness disclosure, Moore 

(forensic document examiner)

Sustained as to text of report. Parties to 

meet and confer re exhibits from report 

that may be offered into evidence.

201 Moore’s first supplemental report Sustained as to text of report. Parties to 

meet and confer re exhibits from report 

that may be offered into evidence.

202 Long form Deed of Trust, Woodside 

property

Stipulated as to admissibility

203 Deed of Trust, Edgewood property Stipulated as to admissibility

204-

299

No exhibits 204 to 299

300 Lehman, Koo 2010 joint tax return Sustained in part. Parties will meet and 

confer re redacted Schedule K. 

301 Bonhomme 2010 tax return Sustained

302 Bonhomme 2009 tax return Sustained in part. Parties will meet and 

confer re redacted Schedule K. 

II. Defendants’ exhibits

No. Description Ruling on Objections

A Loan committee meeting minutes, 6/24/09 Parties to meet and confer re relevance 

of exhibit beyond affirmative defenses.

B Loan committee meeting minutes, 3/29/11 Parties to meet and confer re relevance 

of exhibit beyond affirmative defenses.

C Loan committee meeting minutes, 6/23/11 Parties to meet and confer re relevance 

of exhibit beyond affirmative defenses.

D Loan committee meeting minutes, 9/28/11 Parties to meet and confer re relevance 

of exhibit beyond affirmative defenses.

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United States District Court

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E FDIC Order of Prohibition as to Timothy 

Murphy

Taken under submission

F FDIC Order of Prohibition as to Shaun Hayes Sustained

G Emails between Excel and Chicago Title Ins. 

Co. (CTIC), Jan. 2009

Sustained, unless admissibility 

established at trial (i.e. impeachment)

H Emails between Excel and CTIC, Jan.-Feb. 

2009

Sustained, unless admissibility 

established at trial (i.e. impeachment)

I Emails between Excel and CTIC Sustained, unless admissibility 

established at trial (i.e. impeachment)

J Emails between Excel and CTIC Sustained, unless admissibility 

established at trial (i.e. impeachment)

K Emails between Excel and CTIC Sustained, unless admissibility 

established at trial (i.e. impeachment)

L Email from CTIC to Excel, 2/4/09 Sustained, unless admissibility 

established at trial (i.e. impeachment)

M Long form Deed of Trust, unexecuted Stipulated as to admissibility

N Chicago Trust estimated closing statement Stipulated as to admissibility

O Chicago Trust borrower’s escrow 

instructions

Stipulated as to admissibility 

P Emails between Excel and CTIC, Feb. 2009 Sustained, unless admissibility 

established at trial (i.e. impeachment)

Q Email from CTIC to Excel, 2/5/09 Sustained, unless admissibility 

established at trial (i.e. impeachment)

R Emails between Excel and CTIC, 2/10/09 Sustained, unless admissibility 

established at trial (i.e. impeachment)

S Simmons notice of claim to CTIC, 6/20/14 Withdrawn 

T CTIC reservation of rights to Simmons, 

9/15/14

Withdrawn

U Defs’ 30(b)(6) depo notice to P’s corporate 

representative

Withdrawn 

V Assignment of Deed of Trust from FDIC to P Stipulated as to admissibility

W CTIC letter 2/23/15, supplemental 

reservation of rights (re Defs’ counterclaims 

not covered by policy)

Withdrawn

X Feb. 2015 emails between P (Renner) and 

FDIC re this litigation 

Withdrawn 

Y Simmons’ financial statement through 

12/14

Withdrawn 

Z Simmons’ 1/22/15 press release re earnings Withdrawn 

IT IS SO ORDERED.

Dated: April 17, 2015

______________________________________

Donna M. Ryu

United States Magistrate Judge

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORN

I

A

IT IS SO ORDERED

Judge Donna M. Ryu

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