Document ID: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_03-cv-01445/USCOURTS-cand-3_03-cv-01445-0/pdf.json

Parties Involved:
American Express Financial Advisors, Inc.
Defendant
Jack Benary
Defendant
Amy Swanson
Plaintiff

Document Text:

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

JOINT STIPULATION AND [PROPOSED] ORDER DISMISSING AMENDED COMPLAINT WITHOUT PREJUDICE

C 03-1445 SC

sf-1939379

ROBERT L. SCHNELL, JR. (PRO HAC VICE)

FAEGRE & BENSON LLP

90 South Seventh Street

Minneapolis, Minnesota 55402-3901

Telephone: (612) 766-7000

Facsimile: (612) 766-1600

D. ANTHONY RODRIGUEZ (BAR NO. 162587)

RODERICK W. CHIN (BAR NO. 212635)

MORRISON & FOERSTER LLP

425 Market Street

San Francisco, California 94105-2482

Telephone: (415) 268-7000

Facsimile: (415) 268-7522

Attorneys for Defendants

American Express Financial Advisors, Inc.

and Jack BenAry

JOHN F. MOUNIER, JR. (BAR NO. 48377)

E-RIGHTS LAW GROUP

3030 Bridgeway, Suite 130

Sausalito, California 94965

Telephone: (415) 332-6569

Facsimile: (415) 331-1737

Attorneys for Plaintiff Amy Swanson

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

SAN FRANCISCO DIVISION

AMY SWANSON, individually, on behalf of the 

General Public, and as Trustee,

Plaintiff,

v.

AMERICAN EXPRESS FINANCIAL 

ADVISORS, INC.; JACK BENARY; and DOES 

1 through 100, inclusive,

Defendants.

No. C 03-1445 SC

JOINT STIPULATION AND 

[PROPOSED] ORDER DISMISSING 

AMENDED COMPLAINT WITHOUT 

PREJUDICE PURSUANT TO 

F.R.C.P. 41(a)(1)(ii)

Judge: Hon. Samuel Conti

Case 3:03-cv-01445-SC Document 27 Filed 06/03/05 Page 1 of 3
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

JOINT STIPULATION AND [PROPOSED] ORDER DISMISSING AMENDED COMPLAINT WITHOUT PREJUDICE

C 03-1445 SC

sf-1939379

1

WHEREAS, on June 26, 2003, Plaintiff Amy Swanson (“Swanson”) filed an Amended 

Complaint against Defendants American Express Financial Advisors, Inc. (“AEFA”) and Jack 

BenAry (“Benary”) (the “Amended Complaint”);

WHEREAS, on July 14, 2003, the parties entered into a Stipulation for Stay Pending 

Arbitration, in which the parties agreed that the Service Agreement between the parties requires 

that Swanson’s claims against AEFA and BenAry are subject to final and binding arbitration;

WHEREAS, on July 21, 2003, the Court ordered that this action be stayed so that the 

parties may proceed to arbitration pursuant to the Service Agreement between the parties;

WHEREAS, on December 10, 2004, the Court held a status conference and set a trial date 

of July 5, 2005 for this action; and

WHEREAS, counsel for the parties conferred over the last week to discuss the status of 

this action, whether Swanson intends to submit her claims against AEFA and BenAry to 

arbitration, and potential arbitrators.

IT IS HEREBY STIPULATED AND AGREED by and between the parties, through their 

counsel of record, that:

1. The parties agree that Swanson shall have the right to submit her claims against 

AEFA and BenAry to arbitration before the National Association of Securities Dealers, Inc. 

(“NASD”);

2. The parties agree that the submission of Swanson’s claims to arbitration before the 

NASD or any other arbitral forum, as the parties may agree upon, does not waive any substantive

defenses that AEFA and BenAry may have to Swanson’s claims; and

3. Pursuant to Federal Rule of Civil Procedure 41(a)(1)(ii), Swanson voluntarily

dismisses her Amended Complaint against AEFA and BenAry without prejudice.

Case 3:03-cv-01445-SC Document 27 Filed 06/03/05 Page 2 of 3
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

JOINT STIPULATION AND [PROPOSED] ORDER DISMISSING AMENDED COMPLAINT WITHOUT PREJUDICE

C 03-1445 SC

sf-1939379

2

IT IS SO STIPULATED.

Dated: June 2, 2005 JOHN F. MOUNIER, JR.

E-RIGHTS LAW GROUP

By:/s/ John F. Mounier, Jr. (e-filing signature)

John F. Mounier, Jr.

3030 Bridgeway, Suite 130

Sausalito, California 94965

Telephone: (415) 332-6569

Facsimile: (415) 331-1737

Attorneys for Plaintiff Amy Swanson

Dated: June 2, 2005 ROBERT L. SCHNELL, JR.

FAEGRE & BENSON LLP

90 South Seventh Street

Minneapolis, Minnesota 55402-3901

Telephone: (612) 766-7000

Facsimile: (612) 766-1600

D. ANTHONY RODRIGUEZ

RODERICK W. CHIN

MORRISON & FOERSTER LLP

By: /s/ Roderick W. Chin (e-filing signature)

Roderick W. Chin

425 Market Street

San Francisco, California 94105-2482

Telephone: (415) 268-7000

Facsimile: (415) 268-7522

Attorneys for Defendants

American Express Financial Advisors, Inc. 

and Jack BenAry

[PROPOSED] ORDER

PURSUANT TO STIPULATION, IT IS SO ORDERED.

Dated: June ___, 2005

Honorable Samuel Conti

United States District Court Judge

3 /s/ Samuel Conti

Case 3:03-cv-01445-SC Document 27 Filed 06/03/05 Page 3 of 3