Document ID: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_07-cv-03336/USCOURTS-cand-3_07-cv-03336-0/pdf.json

Parties Involved:
William E. Fredrickson
Defendant
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Plaintiff

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Order

Kevin J. Holl, State Bar No. 124830 

GORDON-CREED, KELLEY, HOLL & 

SUGERMAN LLP 

222 Kearny Street, Suite 650 

San Francisco, CA 94108 

Telephone: (415) 421-3100 

Facsimile: (415) 421-3150 

Attorneys for Plaintiff 

Merrill Lynch, Pierce, Fenner & Smith 

Incorporated

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

MERRILL LYNCH, PIERCE, FENNER &

 SMITH INCORPORATED, a Delaware 

corporation,

Plaintiff, 

vs.

WILLIAM E. FREDRICKSON, 

Defendant.

 CASE NO.: 

[PROPOSED] ORDER GRANTING 

 MERRILL LYNCH’S APPLICATION FOR

 A TEMPORARY RESTRAINING ORDER

 AND EXPEDITED DISCOVERY 

 Date:

 Time: 

 Courtroom: 

 AND NOW, this 27th day of June, 2007, upon consideration of the Complaint and Motion of 

Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”), and having determined that: 

1. Under Rule 13804 of the National Association of Securities Dealers Code of 

Arbitration Procedure for Industry Disputes, Merrill Lynch has the express right to seek temporary 

and preliminary injunctive relief from a court of competent jurisdiction pending an arbitration 

hearing before a full panel of duly-appointed arbitrators; 

2. Merrill Lynch has established a reasonable likelihood of success on the merits of its 

claims for injunctive relief; 

; DIRECTING

DEFENDANT TO SHOW CAUSE WHY

PRELIMINARY INJUNCTION SHOULD

NOT ISSUE; SETTING BRIEFING

SCHEDULE AND HEARING

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Order

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3. Merrill Lynch will suffer irreparable harm and loss if Defendant is permitted to (a) 

misuse the property of Merrill Lynch for Defendant’s own personal use and benefit, and that of 

Defendant’s new employer, Royal Alliance Associates, Inc., and (b) solicit accounts and Merrill 

Lynch customers; 

4. Merrill Lynch has no adequate remedy at law; 

5. Greater injury will be inflicted upon Merrill Lynch by the denial of temporary 

injunctive relief than would be inflicted upon Defendant by the granting of such relief; and

6. An injunction serves the public interest in the protection of confidential and trade 

secret business and client property and enforcement of reasonable contractual obligations, firm 

policy and fiduciary duty. 

IT IS HEREBY ORDERED AND DECREED THAT: 

1. A Temporary Restraining Order issue immediately and that security in the 

amount of $5000.00 be posted no later than the 29th day of June, 2007; 

2. Defendant, and anyone acting in concert or participation with him, specifically 

including his legal counsel and any agent, employee, officer or representative of Royal Alliance 

Associates, Inc. , are ordered to return to Merrill Lynch’s California counsel any and all records, 

documents and/or other types of information pertaining to Merrill Lynch customers (“Customer 

Information”), whether in original, copied, handwritten, computerized (including computer 

software, disks, computer hard drive and/or any other type of computer or digital information 

storage device) or memorialized in any other form, within twenty-four (24) hours of notice to the 

Defendant or his counsel of the terms of this Order. 

3. Any and all Customer Information within the possession, custody or control of 

Defendant that is contained in any computerized form, including on computer software, disks, 

computer hard drive, and/or any other type of computer or digital information storage device, 

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Order

 -3- 

returned pursuant to paragraph 2 above shall be permanently deleted by a Merrill Lynch 

representative. Such Customer Information shall be permanently deleted, if possible, without 

affecting any other information or software on the computer. 

4. Defendant William E. Fredrickson is enjoined and restrained, directly and 

indirectly, and whether alone or in concert with others, including any agent, representative, 

officer, or employee of Defendant’s current employer, Royal Alliance Associates, Inc., until 

further Order of this Court, from: 

a) using, disclosing, or transmitting for the purpose of solicitation the 

information physically taken or information which Mr. Fredrickson emailed to 

himself; and 

b) soliciting any client of Merrill Lynch whom Defendant served or whose 

name became known to Defendant while in the employ of Merrill Lynch for the 

purpose of inviting, encouraging or requesting the transfer of any accounts or 

business patronage from Merrill Lynch (excluding Defendant’s family and 

relatives, and any client that Defendant serviced as a registered representative prior 

to joining Merrill Lynch). 

5. This Order shall remain in full force and effect until such time as this Court 

specifically orders otherwise. 

6. Defendant shall show cause before this Court on the 2nd day of August 

2007 at 10 o'clock a.m., or as soon thereafter as counsel may be heard, why a Preliminary 

Injunction should not be ordered according to the terms and conditions set forth above. Defendant 

William Fredrickson shall file and serve an opposition no later than July 20, 2007. Plaintiff 

Merrill Lynch shall file and serve a reply to the opposition no later than July 27, 2007. 

///

///

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Order

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7. Merrill Lynch is granted leave to take expedited deposition discovery prior 

to the Preliminary Injunction hearing referred to hereinabove. 

IT IS SO ORDERED: 

Dated: June _______, 2007 ________________________________ 

 Honorable Maxine M. Chesney 

 Judge of the United States District Court 

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