Document ID: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-4_05-cv-01235/USCOURTS-cand-4_05-cv-01235-3/pdf.json

Parties Involved:
Citicorp Investment Services
Defendant
Douglas Frazier
Plaintiff

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Order Provisionally Certifying Settlement Class and Preliminarily Approving Settlement and

Proposed Notice to Class Members, Case No. CV 05-01235 (CW)

IN THE UNITED STATES DISTRICT COURT

FOR THE NORTHERN DISTRICT OF CALIFORNIA

OAKLAND DIVISION

DOUGLAS FRAZIER, 

individually and on behalf of a class of

similarly situated persons,

Plaintiff,

v.

CITICORP INVESTMENT SERVICES, INC.,

DOES 1-25 inclusive,

Defendants.

 

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Case No. CV 05-01235 (CW)

ORDER PROVISIONALLY

CERTIFYING SETTLEMENT CLASS

AND PRELIMINARILY APPROVING

SETTLEMENT AND PROPOSED

NOTICE TO CLASS MEMBERS

The Plaintiffs in this action for alleged violations of states’ wage payment laws, breach of

contract, and other related claims, having submitted a Motion for Preliminary Settlement

Approval (in which Defendant Citicorp Investment Services (“CIS”) joined), and the Court

having reviewed the motion, the proposed notice to class members and all other settlement

documents and the pleadings in the case as a whole, and having concluded that the settlement

Case 4:05-cv-01235-CW Document 28 Filed 05/17/06 Page 1 of 3
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Order Provisionally Certifying Settlement Class and Preliminarily Approving Settlement and

Proposed Notice to Class Members, Case No. CV 05-01235 (CW) 1

and accompanying notices preliminarily appear to be fair, reasonable, and in the best interest of

the class, 

IT IS HEREBY ORDERED that Plaintiffs’ Motion for Preliminary Settlement Approval

is GRANTED; and 

IT IS HEREBY FURTHER ORDERED that a class is provisionally certified, pending

final approval at the Fairness Hearing, to consist of: all current or former employees who work

or worked for CIS as Financial Executives at any time between February 17, 1999 through May

12, 2006, who were assessed by CIS a disciplinary fine for one or more violations of a workplace

or industry rule or policy and paid that fine by check to CIS;

IT IS HEREBY FURTHER ORDERED that the form of notice accompanying the

Plaintiffs’ Motion is APPROVED as it is consistent with due process requirements and the best

practicable form of notice; and 

IT IS HEREBY FURTHER ORDERED that any Plaintiff who wishes to file an objection

to this Settlement must submit such an objection in writing, to be received no later than August

11, 2006 by Plaintiffs’ Counsel, CIS’s Counsel, and the Court, at the following addresses: 

Cliff Palefsky

McGuinn, Hillsman & Palefsky

535 Pacific Avenue

San Francisco, CA 94133

Michael Rubin

Altshuler, Berzon, Nussbaum, Rubin & Demain

177 Post Street, Suite 300

San Francisco, CA 94108

Adam Karr

O’Melveny & Myers, LLP

400 South Hope Street

Los Angeles, CA 90071

Frazier v. CIS, No. CV 05-01235 (CW) 

United States District Court for the N. D. California 

1301 Clay Street, Suite 400 S

Oakland, CA 94612-5212

No Class Member shall be permitted to assert an objection, or to have any objection

considered at the Fairness Hearing, unless that Class Member has submitted a timely objection

Case 4:05-cv-01235-CW Document 28 Filed 05/17/06 Page 2 of 3
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Order Provisionally Certifying Settlement Class and Preliminarily Approving Settlement and

Proposed Notice to Class Members, Case No. CV 05-01235 (CW) 2

stating the reasons therefore; and 

IT IS HEREBY FURTHER ORDERED that any Class Member who wishes to opt out of

this Settlement must submit an opt-out notice, to be received no later than August 11, 2006 by

Plaintiffs’ Counsel, CIS’s Counsel, and the Court, at the addresses set forth in the preceding

paragraph. To be valid and effective, an opt-out notice must state the opting-out Class

Member’s name (and, where different, any other name(s) used during the Class Member’s period

of employment with CIS), employee number or social security number, address and telephone

number, must attach a copy of his or her individualized Mailed Notice, must be signed by the

Class Member, must be timely received by Plaintiffs’ Counsel, CIS, and the Court, and must

contain the following statement: 

I, [NAME] am a Class Member who was or is employed by CIS between

[DATES of EMPLOYMENT] in [WORK LOCATION] in the capacity

ofa [JOB TITLE]. I hereby exercise my right to opt out of the Settlement,

knowing that by doing so I waive any and all rights I may have to

participate in that Settlement and to be paid any portion of the settlement

proceeds that I would otherwise be eligible to receive under that

Settlement. 

and 

IT IS HEREBY FURTHER ORDERED that the following schedule shall 

govern the class claims in this action: 

Notices Mailed and E-Mailed to Class Members: June 20, 2006 

Last Day to File Objections or Opt-Out Notices: August 11, 2006

Fairness Hearing and Fee Approval Hearing: September 8,2006 

Deadline for payments of claims to plaintiffs: 30 calendar days after

Settlement Effective

Date. 

5/12/06

DATED: ___________________ _____________________________________________

HONORABLE CLAUDIA WILKEN

UNITED STATES DISTRICT JUDGE

Case 4:05-cv-01235-CW Document 28 Filed 05/17/06 Page 3 of 3